Ethics Panel Adjudication for Patrick Stapleton

8/10/2019 Ethics Panel Adjudication for Patrick Stapleton

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InRe: Patrick

Stapleton, :

FileDocket: 12-027

Respo ndent : X-

ef:

Order

No.1628

Date

Decided: 2/6/

14

DateMailed: 2/12/14

Before:

JohnJ. olger,Chair

NicholasA.Colafella,

Vice

Chair

RaquelK.Bergen

MarkR.Corrigan

RogerNick

KathrynStreeter

Lewis

This

is

a

final

adjudication

of

the

StateEthics

Commission.

Procedurally,theInvestigative

Divisionof

the

State

EthicsCommissionconducted

aninvestigation regarding

possible

violation(s) fthePublicOfficialand

Employee

Ethics

Act (

Ethics

Act),65

Pa.

C.S. 101etseq.,bythe

above-

named

Respondent.

At

the

commencementofitsinvestigation, theInvestigativeDivisionserved

upon

Respondent

writtennoticeofthespecificallegations. Upon

complet ion

ofits

investigation,

the

InvestigativeDivision

issued

and served

upon

Respondent

a

FindingsReportidentif iedas

an nvestigative

Complaint.AStipulationofFindingsand

aConsentAgreementwere

subsequentlysubmittedbythe

parties

totheCommiss ion forconsideration.

The

Stipulated Findings

are

setforthas

the

Findings

in

thisOrder.

TheConsent

Agreement

hasbeen

approved.

I.

ALLEGATIONS:

That

Patrick

Stapleton,apublicofficial/public

employee

inhis capacity

as

aMember

andChairmanofthePennsylvaniaLiquorControlBoard (PLCB),violatedSections

1103(a) nd1105(b) ftheStateEthics

Act (A ct

93of1998)whenheusedthe

authority

of

hispublic

positionfortheprivatepecuniarybenefitofhimself,

members

of

hisimmediate

family,

and/ora

business

with

which

heand/or

membersof

hisimmediate

family

are/were

associated

by

soliciting

from PLCB

vendor(

s)

onationsofwine

and/orl iquorforevents

hostedby

the

Keystone

Weekend

Inc.,anentitywith

which

Stapletonand/

ormembersof

his

immediate

familyare/wereassociated;whenhesolicitedvendor(s) fthePLCB to

arrange

for

and

provide

a

celebrity

chef(

s)

or

the

same

event;whenhereceived

hospitality, ncludingbutnotl imited to: unches,dinners,golfoutings (

which

included

cocktails,meals,greensfeesand

other

amenities),paid

for

byPLCBvendor(s), llata

t ime

when thevendor(s)

adan

ongoing

business/contractualrelationship

withthePLCB;

and

when

he

failed

to

disclose

on

Statements

of

FinancialInterests

for

the

2010

and

2011

calendar

years

the

receiptofgifts,

ransportation,hospitality

and/orlodging

from vendor(

s)

of

thePLCB.

II.

FINDINGS:

1. PatrickStapletonserved

asaMember

ofthePennsylvania

Liquor

Control

Board

PLCB) ro m approximatelyJune17,1997, hroughOctober5, 012.


2/47

Stapleton,12-027

Page2

a. Stapleton

was

initiallyappointed

effective

June17,1997,andreconfirmed

on

May

10,2000,

May

17,2004,

andNovember

20,2008.

b. Stapleton

served

asChairman

ofthePLCB from

approximatelyJanuary17,

2007, hroughOctober5, 012.

c.

Stapleton

also

was

appointed

Chair

of

the

National

Alcohol

Beverage

ControlAs soc iation (NA BCA)

effectiveMay2011.

2. ThePLCB wascreatedby

state

law

onNovember29,1933,attheendof

prohibition.

a. Pennsylvania isoneofeighteen (18) tatesandtwo (2)Maryland counties

thatactivelyparticipate in

the

distribution process

tocontrol

the

sale

of

alcohol.

3.

The

PLCB isgoverned

by

athree (3)

MemberBoard,

appointedby

theGovernor

and

confirmedbytwo-hirdsof

the

StateSenate.

a. The

Board

appointsa

Chief

Executive

Officer.

4.

The

PLCBisresponsibleforregulating thesale

of

alcohol,educatingconsumerson

theresponsibleuseofalcohol,and

working

topreventunderage useofalcoholic

beverages.

5.

T he

PLCB

accomplishes

itsresponsibilities throughmarketing

and merchandising

a

retailoperation

of

approximately608

stores

with

salesof

approximately $2.1billion

in201 1-2012.

a. The

PLCB

also

oversees:

1. Regulationof17,000l icenses.

2.

Administration

of

alcohol

education

and

awarenessprograms.

b. ThecurrentemploymentcomplementofthePLCB isapproximately4,500

peoplewithfour (4)aborassociations.

6.

Between

December6, 933,andApril1934,

thePLCB

commenced operation

by

initiating thefollowing:

a. More than600

l icenses

wereapproved,

giving

the

new

l icenseholders,

such

asbarsandrestaurants,the

righttolegally

sell

alcoholforon-premises

consumption

in

Pennsylvania.

b. The

PLCB

openedsixty-hree (63) tatestoresandfive (5)

arehouses

in

the

Commonwealth.

c. ThePLCB

established

four (4) istrictofficesin

Philadelphia, Harrisburg,

Pittsburgh,andW ilkes -Ba rre.

1.

Since

1939, hePLCB

hasmaintainedits

headquartersatthe

NorthwestOffice

Building.

7. OnApri l12,1951, he

PennsylvaniaGeneralAssemblycombined existingbeer

and

l iquorlaws

intoonestatute,entitled the

Liquor

Code.


3/47


4/47

Stapleton,12-027

Page4

13. Inordertohavea

productsold

by

the

PLCB,a

manufacturer/

supplierof

alcoholic

beverage

productsmayemployseveraldifferent

methods

tohaveits product

representedwithin theCommonwealthofPennsylvania.

a. Amanufacturer/supplierm ay

market

itsproductdirectly

to

thePLCBforthe

listing/delist ingprocessaswellas

for

salesand

distribution.

b. Amanufacturer/

supplier

m aymarketitsproductthrougha

vendor.

1. Forall

sales/

distribution,avendorofrecordmustbeidentifiedwith

thePLCB.

2. Amanufacturer/

supplier

m ayalsobea

ve nd or/ve nd or

ofrecord.

c.

A

manufacturer/

supplier

mayenl istthe

services

ofabroker,who

then

inturn

represents the

manufacturer/

supplieranditsproducts

before

thePLCB.

1. Anybrokermayrepresentmultiplemanufacturers/suppliers

and/

or

multipleproducts beforethePLCB.

2.

A

broker

m ay

also

serve

as

a

ve nd or/ve nd or

of

record.

14. Once

a

product

ismanufactured,ifamanufacturer/

supplier

isutilizinga

vendor/vendor

ofrecord,

product

is

thenshipped

tothe

custody

ofthe

ve nd or/ve nd or

ofrecord.

a. Thevendortakesphysical

custody

oftheproduct

for

delivery tothePLCB.

b. Payment

fortheproductismade

between

thePLCB

and

thevendor/vendor

ofrecord.

c. Ifamanufacturer/supplier isservingasitsownve nd or/ve nd or

ofrecord,

productisshippeddirectly

from

the

manufacturer/

suppliertothePLCB.

15. Ifamanufacturer/supplierisutilizingabroker,productisstilldistributed from the

ve nd or/ve nd orofrecordtothePLCB.

a. Whereabrokerisutilized,

payment

is

made

from

thePLCB

to

the

broker.

b. Abroker

m ay

alsoserveasave nd or/ve nd orofrecord.

16.

ThePLCB

periodically

reviews

allproducts

currentlysoldinPLCB

retail

stores

to

evaluate

their

profitability,andatorabout

the

same t imeconsidersnewproducts

forplacementinPLCBretailstores

througha

process

known

as isting

and

delisting.

a.

Listing/

delisting

occurs

twice

ayear,

usually

in

the

fall

and

spring

of

each

year.

b.

Thegoal

of

listing/delisting istoachievea1:1ratio, [suchthat] oreach

productlisted,

oneproduct

is

delisted,duetothe

l imitedamount

ofshelf

spaceavailableateach

PLCBretail

store.

17.

Theprocesstopresentanewproduct

forlisting

isregulated throughthePLCB.


5/47

Stapleton,12-027

Page5

a. Onlyindividuals/entitieswith

a

Pennsylvania VendorPermitmaypresent

i tems

forlisting.

b. Afee

of $

50.00 (

peri tem/per

size)

oreach

proposednewproduct

listing

is

required.

c.

Appropriatepaperwork

as

well

as

two (

2)

roductsamples

for

wine

andone

1) roductsample for

spirits

isrequired tobe

submitted.

d. Once theappropriateapplication has

been

submitted,adate/imespecific

will

be

scheduled

fora

vendor/brokertopresentnewproductto [

taff]

members

ofthePLCB.

e.

Generally

two (2) ottlesofaproductareprovided

for

sampling.

1. One (1)

ottle

for

tasting

and

another

forlabel

revieware

submitted.

f PLCB [

staff]

membersusuallyresponsible

for

evaluating

newproductare:

Director

of

Marketing

and

Merchandising

Chief

Product

Management

and

Pricing

Division

MerchandisingPricing

Coordinator(s).

g. Presentationtimeislimitedtoforty-

iveto

ninety (

45-90)

minutesper

vendor/

broker

regardless

ofthenumberofi temsbeing

presented

for

new

listing.

1.

Sampling

is

to

occur

atPLCB

headquartersina

room

calledtheR EC

Room.

h. Onceanewproduct

presentation

hasbeenmade,arecommendation will

be

made

astowhether

the

newproduct

should

belisted (soldin

PLCB

retail

stores).

1. Areportof

products

tobelisted isforwarded tothe

Commissioners

for

approval.

2.

TheCommissionersdo

notparticipate inthe

new

productreview

process.

3. Commissioners

voteontheentire

recommended

new

product

list,

withoutanyindependentreviewoftheprod uct/sup po rt

data.

4.

TheDirector

ofMarketingandMerchandising

along

withthe

Chief

of

the

ProductManagementandPricingDivisionmake

the

final

recommendation tothe

Commissionas

towhatproduct(s) hould

be

listed

for

sale.

5.

Luxury

winesandone-imebuys, ncluding the

Chairman

sSelection

Program,arenotsubjecttothe

listing/

delist ingprocess.

18. Delisting

occurs

simultaneously

withthe

listingprocess.

a. The

delist ing

process is form allyterm ed catego rymanagement,

but

is

commonly

describedas bucketing

or

iltrationprocess.


6/47

Stapleton,12-027

Page6

1. Products

of

liketype

are

placed

into

categories;i .

winesof

asimilar

vintage,type,style,price,etc.,aregroupedtogether.

2. I temsarecategorized

by

lengthoftimelisted: t ems listedfor

less

thanone

year

arenoteligible

for

delisting;

tems listed

for

between

eighteen to

twenty-

four (18-24)

months

are

reviewedseparatelyfrom

thosei tems

listed

twenty-

four (

24)

months

or

more.

3.

Aftereachitem

isreviewed, itis

placed into

a ucketifitpasses the

filtering

criteria.

For

example, if

a

productmeetsthethreshold

criteria,itis

ucketed

tothenextareaofreview.

4.

I tems

are

reviewed

for

theirprofitabilitywithspecialattention being

placedon:howmuchprofit [was]generated;

how

many

stores

stockedthe

i tem;percentageofprofitgrowth (20% rowth

is

viewed

by

PLCB

asa oodproduct.)

b.

Ifaproductis

to

bedelisted,

hevendor

isnotified

and

providedan

opportunity

toavoida

delisting.

1.

Act ions

such

as

an

advertisingcampaign,discounts,

and

product

samplingare

used

topromote

sales

andpossibly

avoid

adelisting.

c. Recommendations for

delistingare

similar

tol istings,

where

theDirectorof

MarketingandMerchandising alongwiththeChiefoftheProduct

ManagementandPricingDivisionmakethefinalrecommendation tothe

Commission

astowhatproduct(s) hould

be

delisted.

19. Prior

to

sometimein2012,all

product

purchasedby

thePLCB

waswarehousedin

PLCBfacilities

until

distribution

to

PLCBretail

stores.

20.

During calendaryear

2012,

thePLCBinit iated

a

purchasing/nventorysystem of

bailment.

a. Through

the

PLCBsbailmentsystem,product

is

shippedtoPLCB

warehouses

from

thevendor,asoccurred pre-

2012.

b. PLCBdoesnottransferpayment

offunds

orownership

of

theproductuntilit

istobeshipped tothePLCB

retail

stores.

c. ThePLCBsystem ofbailmentallows forgreatercontrol

over

inventory

and

alsolimits

therisk/exposure thePLCB

mayhave

regarding

productloss.

1. Throughthebailmentprocess,PLCBmaintainsnomore than

three

3)ofive (5) eeksworthofinventorywithinitswarehouses.

2.

Currently

twenty

seven (

27)

endors

are

under

bai lment

with

the

PLCB,

which

representsapproximately80%

of

the

cashvalue

of

PLCB

products

sold.

d. Priortoinitiatingabailment

process,

PLCBstaffwereresponsiblefor

predicting

the

market

for

aparticularproduct;if

saleswerenot

asexpected,

the

PLCBwould

suffera

f inanciallossthroughspoilage

of

productif

an

excessive

amount

ofproductremainedunsold.

21. Theprimaryvendorsproviding

products

to

thePLCB

are:


7/47

Stapleton,12-027

Page7

SouthernWineand

Spirits

CapitalWineandSpirits

AlliedBeverage (

Majestic).

22.

SouthernWineandSpiritsofAmerica,Inc. (Southern), [claims] obe

the

nations

largestwine

andspiritsdistributor.

a.

Since

itscreation/ormation in1968,Southern

has

maintained itscorporate

officeinMiami,Florida.

b.

Currently,Southernrepresents

clients

in

no

less

thanthirty-five (35) tates

including

ControlStatesand

Open

States.

1. An OpenState eferstoastate/

urisdiction

wherewine,spirits,and

beer

salesare

conductedthroughanindependentbeverage

distributor/

retailer.

2.

A

Control

State

swhereastateorcounty

controls

orregulatesthe

distributionand/orthesaleof

wine,

spirits,and/orbeer.

3.

Pennsylvania

is

the

largestControl

State

operation in

the

United

States.

23.

SouthernWine &

Spirits

of

Pennsylvania

operates as

a

l icensed

wine

andspirits

broker-

marketer.

a.

Southern

expanded itsoperations

into

Pennsylvania in

1995.

b. Southern

employs

approximately

two-

hundred

twenty-

five (225)

sales

and

support

staff

statewide

in

Pennsylvania.

c. Southernmaintains two (2)

ffices

withinPennsylvania,oneintheKingof

Prussia

area,

andthe

other

intheGreaterPittsburghgeographic

area.

1. These

employees

are

responsible formarketingandmerchandising

alcoholicbeveragestothemore than

six-

hundred (

600)

PLCBstate

stores,aswellasPennsylvanias

14,

500

on-

premiseaccounts.

2. The

PLCB

is

Southern

sonlyoff-

premise

customer.

24. Brad

M.

Waxm an (

Waxman)

s

the

Executive

VicePresident,

General

Managerof

SouthernWine &

Spirits

of

Pennsylvania.

a. InJanuary1999,

Waxman

initiatedhis

employment

withSouthern.

1.

In

2002,Waxman

wasnamedExecutiveVice

President,

Genera l

Sales

Manager

of

Southern

s

Pennsylvania operations.

b.

Mark

Sweeneyis

theVice

PresidentandGeneralManager ofNorth

AmericanWineand

Spirits,a

divisionofSouthernWineand

Spirits.

1. Sweeneyalsomakessales

calls

toPLCBofficials andemployees.

2. In

2008,Waxmanwas

promotedtothe

position

ofExecutive

Vice

President/

General

Manager

of

Southern

sPennsylvania

operations.


8/47

Stapleton,12-027

Page8

25. Southern is

a

broker

andvendor /vendorof

record

for

a

numberof

wines

and/

or

spiritssoldtothePLCB.

a. Waxmanservesasabrokerforanumber

ofthe

productsbefore

the

PLCB.

b.

Products

forwhich

Southern

servesasbrokerand/

or

ve nd or/ve nd orof

record

account

for

between

approximately

6.

43%

o

6.

85%

of

PLCB

total

Costof

G oods

Sold (COGS)during

thelastfive (

5)

ears.

c. AlistofSouthernsbusinesswiththePLCB isdetailedbelow:

FiscalYear

SupplierN a m e

FiscalYear

PercentofCO GS

Payment

SOUTHERN W INE &

SPIRITS

OFPA

200 7-200 8 $ 62,051,980.00 6.60%

SOUTHERN W INE &

SPIRITS

OFPA 200 8-200 9 $ 67,340,276.96 6.64%

SOUTHERN W INE &SPIRITS

OFPA

200 9-201 0 $

72,529,178.51

6.

85%

SOUTHERN

W INE &SPIRITS

OFPA 201 0-201 1 $ 69,482,807.78

6.

43%

SOUTHERN

W INE &

SPIRITS

OFPA

201 1-201 2 $

77,

641,059.

78

6.

78%

The

spreadsheet

aboveisonlyable

to

detail

approximately

86%

of

PLCB

inventory,

asthe

remaining

percentage

ismad e up

of

smal lpurchases.

26.

Inaddition to

BradWaxman,

MarkSweeney

alsomarketsproducts

tothePLCB

on

behalf

ofSouthern.

27.

Capital

Wine &Spirits,

LLC (

Capital)claimstobeoneofthelargest

wholesalers/brokersof

wine

andspirits inPennsylvania.

a.

Capitalis

amember

ofthe

Charmer

SunbeltGroup,

anationwidedistributor

ofwine,spirits,beer,andotherbeverages.

b. The

Charmer

SunbeltGroup isacollectionofprivately

held

companies and

op erates distributor/brokerage

houses

innoless

thanf ifteen (

15)

tates,

includingPennsylvania.

c. Capitalemploysmore

than

two-hundred (200)employees and

reports

tosell

inexcessoffourmillioncasesof

wineandspirit

throughoutthe

Commonwealth.

d.

Thereported

4mill ioncasesofwine/spiritsales include salesto

the

PLCB.

28.

Capital

is

abrokerand

ven do r/ven do r

ofrecord

for

a

number

ofwinesand/orspirits

soldto

thePLCB.

a.

Productsbrokered

by

Capital

account

for

atotal

of

betweenapproximately

19.11%o22.03%ofPLCBtotalCostofGoods

Sold

duringthelastfive (5)

years.

b. AlistofCapitals

businesswith

thePLCB isdetailedbelow:

FiscalYear

SupplierN a m e Fiscal

Year

PercentofCOGS

Payment


9/47

Stapleton,12-027

Page9

1

BACARDI

USA INC.

200 7-200 8 $

65,399,563.92

6.

96%

1

BROWNFORMAN

200 7-200 8 $ 50,057,434.25

5.

33%

REMYCOINTREAU

USA INC.

1

200 7-200 8 $ 8,

306,486.83

0.

88%

CAPITAL

WINE &

SPIRITS

200 7-200 8 $

40,

178,158.

61

4.

28%

WHITEROCK DISTILLERIES

2

200 7-200 8 $ 18,931,222.63 2.01%

BANFIPRODUCTSCORPORATION

2

200 7-200 8 $ 12,874,577.00 1.37%

SUTTER

HOMEWINERY

2

200 7-200 8 $ 11,305,649.31 1.20%

FiscalYear

SupplierN a m e

FiscalYear

PercentofCO GS

Payment

BACARDI

USA INC. 200 8-200 9 $ 62,721,532.75

6.

19%

BROWN

FORMAN

200 8-200 9 $

46,

707,019.

90

4.

61%

REMY

COINTREAU

USA INC. 200 8-200 9 $

7,

032,821.38

0.

69%

CAPITAL

WINE &

SPIRITS

200 8-200 9 $ 37,819,784.20

3.

73%

WHITEROCKDISTILLERIES

200 8-200 9 $

15,925,879.32

1.

57%

BANFIPRODUCTSCORPORATION 200 8-200 9 $ 14,124,707.82 1.39%

SUTTER

HOMEWINERY 200 8-200 9 $ 14,381,248.01

1.

42%

Fiscal

Year

Supplier

N a m e

FiscalYear Percent

of

CO GS

Payment

BACARDI

USA INC.

200 9-201 0 $

67,263,103.22

6.

35%

BROWN

FORMAN

200 9-201 0 $ 50,613,490.40 4.78%

REMYCOINTREAUUSA

INC.

200 9-201 0 $

7,

911,959.

34

0.

75%

CAPITALWINE &SPIRITS 200 9-201 0 $ 38,317,957.26 3.62%

WHITEROCKDISTILLERIES 200 9-201 0 $ 21,435,297.82

2.

02%


10/47

Stapleton,12-027

Page10

BANFIPRODUCTSCORPORATION 200 9-201 0 $ 16,606,904.35

1.

57%

SUTTER

HOME

WINERY 200 9-201 0 $

15,

255,869.

66

1.

44%

FiscalYear

Supplier

N a m e

Fiscal

Year

Percent

of

CO GS

Payment

BACARDI

USA

INC.

201 0-201 1 $ 61,685,074.98

5.

71%

BROWNFORMAN 201 0-201 1 $

47,563,997.04

4.

40%

REMYCOINTREAU

USA INC.

201 0-201 1 $ 7,

305,972.

37 0.68%

CAPITALWINE &SPIRITS 201 0-201 1 $

39,033,604.40

3.

61%


1.

80%

BANFIPRODUCTSCORPORATION 201 0-201 1 $ 16,521,319.81 1.53%

SUTTER

HOME

WINERY 201 0-201 1 $

14,909,694.70

1.

38%

FiscalYear

SupplierN a m e Fiscal

Year

PercentofCO GS

Payment

BACARDIUSA

INC.

201 1-201 2 $ 60,866,013.23

5.

31%

BROWNFORMAN

201 1-201 2 $ 48,337,155.48

4.

22%

REMY

COINTREAU

USA INC.

201 1-201 2 $ 9,

765,846.

17 0.85%

CAPITAL

WINE &

SPIRITS

201 1-201 2 $ 42,274,675.76

3.

69%


2.

23%

BANFI

PRODUCTSCORPORATION

201 1-201 2 $

16,

385,

912.

23

1.

43%

SUTTER

HOMEWINERY 201 1-201 2 $ 18,394,480.35

1.

61%

1

MembersofTheAll iance

2

ManufacturersrepresentedbyCapitalin

Pennsylvania

Thespreadsheetaboveisonlyabletodetailapproximately86%ofPLCB inventory,

as

the

remaining

percentage

ismad e upofsmal lpurchases.

29. Inaneffortto

condensemarketingefforts

andmaximizesalesand

product

exposure, severalmanufacturers/producers

ofwines,

spiritsand

malt/

brewed


11/47

Stapleton,12-027

Page11

beverageshave formedpartnershipsformarketing

purposes;one

suchpartnership

is TheAlliance.

a.

TheAlliance is

comprised

of

wine/spiritsuppliers:

Bacardi

USA ( Bacardi);

Brown

Forman;

and

R e m yCointreau (Remy) .

b. The

Alliance

was

established

by

Bacardi,Brown

Forman,

and

R emy

to e-

shape heir

route

to

marketinorder

toprovidegreaterserviceand

access

to

theconsumer.

c.

Thegoa l

of

T he

Alliance was/stocreateaway forBacardi,BrownForman,

andRemy

to

leverage

their

scaleandprofitabilityinorder

to

secure

dedicatedresources.

30. The

Alliance

is

aUnitedStates

program andisfocusedondistribution and

a

combined portfolioin

aneffort

tocompetewith

other

suppliers.

a. TheAlliancecoverstwenty-

six (26)

markets,which

include

thestateof

Pennsylvania.

b.

Within

Pennsylvania,

The

Alliance

is

represented

by

Capital

Wine &

Spirits/

Charmer

SunbeltGroup.

31. Bacardiwas

founded

in1862,withBacardi

USA

beingestablished inNewYorkCity

in

1944.

BacardiUSA relocated toMiamiin

1964.

a.

Bacardi

reportsworldwidesales

of $

5.5billion;Bacardifiscal

year

recapfor

Pennsylvania includedaPLCBRolling12MarketProfitof $113,127,361.

b. The

total

Bacardi

portfolio

casessoldinPennsylvaniawasreported

at

642,870.

c. BacardistotalPennsylvania marketingbudgetwas $5.4million.

32. BrownForman

was

founded in1870and isone

of

thelargestAmericanownedwine

andspiritcompanies

in

theworld,andisamongthetoptenlargestglobalspirits

companies.

a. Brown

Form anreported $3.2billion

annualnet

spiritandwine

salesfor

Fiscal

Year2009.

b. BrownFormanreportedPLCB Rolling

12

Market

Profit

of $

77,

066,137.

00.

c.

The

totalBrown

Forman

portfoliocasessold

inPennsylvaniawas

390,415.00.

d.

Brown

Forman

stotal

Pennsylvania marketing

budget

was $

2,

582,120.

00.

33. Remy isatwo-

hundred

eighty-eight (288)yearoldcompanybased in

Paris,

France,

withglobal

sales

reportedofover $1

Billion.

a.

R e m y

USA isheadquartered

in

NewYork,

andit

was

established in

1981.

b. Re myUSA reports tohavespentapproximately $983,500.00

in

SPAsupport

forsalesprogramsduringthe2011-2012fiscalyear;andanadditional


12/47

Stapleton,12-027

Page12

400,000.00in

marketing

support

for

thePennsylvaniamarketplace

annually.

c. Total

estimated

expenditures

formarketing

inPennsylvaniatotal

1,383,500.00orapproximately $23.00oneverycaseofbeveragesoldin

theStateofPennsylvania.

34.

Capital

WineandSpirits

representatives

interactingmostoftenwith

PLCBofficials

include the

following:

MarkLitt les,President,CapitalWineandSpirits

ChristinaDesmond,DirectorofMarketingandBusinessAnalytics

Rob

Sirota,General

Manager,AllianceDivision

of

CapitalWineand

Spirits

KevinMcCarty,Vice-

President

of

Complianceand Administration

ofCapital

WineandSpirits

TimKilcullen,

VicePresident

Wine

and Education,

CapitalWine

and

Spirits.

35.

Allied

Beverage

Group,

LLC (Allied)wascreatedby

themergers

ofTheBaxter

Group,

Inc.,

F&A

Distributing

Company

and

The

Jaydor

Corporation.

a. Allied reportsto

be

NewJerseyslargest

and

mostcomprehensive

wineand

spiritsdistributorandranksamongthetenlargest

distributors in

theUnited

States.

b. Allied

also

operatessubsidiaryMajestic

Wine &

Spirits,

USA,LLC

Majestic),which

is

aPennsylvania

brokerage

and ven do r/ven do rofrecord

for

products soldtothePLCB.

1. Asabroker/vendor,Majesticprovides merchandisingandpromotional

services

for

severalmajorsuppliers

of

alcoholic

beverages.

2. Majestic

reports

tobe

thePLCBs

highest

volumedistributor

of

special

l iquororders.

36.

Asa

broker

andvendor /vendor

ofrecord

forproductssold

to

thePLCB,Allieds

and/orMajesticssales

account

forbetweenapproximately1.51%o2.18%ofPLCB

totalCostof

Goods

Soldduring

thelastfive (

5)

ears.

a. A

detailed

listof

Majestic

s

businesswith

the

PLCB

is

detailed

below:

Fiscal

Year

Supplier

N a m e

FiscalYear Percent

of

CO GS

Payment

MAJESTIC

W INEAND

SPIRITS

2007 -20 08 $

15,623,508.91

1.

66%

MAJESTIC

W INEAND

SPIRITS

200 8-200 9 $ 15,267,768.10

1.

51%

200 9-201 0 $ 16,454,785.45

1.

55%

MAJESTIC

W INEAND

SPIRITS

2010 -20 11 $ 16,973,020.65

1.

57%

AJESTIC W INEAND

SPIRITS

2011-20 12 $ 25,000,032.79

2.

18%

MAJESTIC

W INEAND

SPIRITS


13/47

Stapleton,12-027

Page13

37.

Majestic

sprimarycontactswith

PLCBofficials

and

employeesareChris

Papariello

andEdward Murray.

a.

Papariello isExecutiveVice-PresidentofMajestic.

b. Murrayserves as

Majestic

sEasternRegional

Manager.

38. Executivesandmarketing

representatives

from

vendorssupplyingproducts tothe

PLCB

wouldmeet

withPLCBofficials and

employeestomarket

products.

a. Thoserepresentatives

offered

giftsandhospitality

toPLCB

representatives],

ncluding Stapleton.

b. These item s, ncludinggolfevents,meals,and hospitality,wereofferedwhen

listing/delistingof [

products]

was

occurring.

c.

Items

ofvalue

wereroutinely

providedto

PLCBofficials

who

werein

discussion [

sic]

makingpositionsregardingproductselection and placement.

39.

AstheChairman

of

thePLCB,Stapletoninteractedandmetwith

suppliers

and

brokers

of

wine

and

spirits

for

the

PLCB, ncluding

representatives

of

Capital,

Southern,Majestic (

Allied

Beverage),andWhite

RockDistilleries,

avendor

represented

by

Capitaland

Jim

Bean

Global.

a. Stapletonwouldmeetwith

suppliers/brokers

attheofficesofthePLCB,store

openings,golfoutings,and

dinner

meetingsatrestaurants.

b. IndividualsthatStapletonasthe

PLCB

Chairmanhadspecificdealingswith

fromtheabove listedentities included:

Mark

Littles,PresidentofCapital

Wine &Spirits;CristinaDesmond,DirectorofMarketingand

Business

Analytics

for

CapitalWine &

Spirits;Tricia

Brungo,Control

State

Manager

forWhiteRockDistilleries;MarkSweeney,

Vice

PresidentofSales

in

Pennsylvania for

Diageo;

Christopher

Papariello,the

ExecutiveVice-

President

of

Majestic

Wineand

Spirits;Erin Red

Schiller,

Jim

BeanGlobal;

andBrad

Waxman,SouthernWine

andSpirits.

c. These

individuals

andother

vendor

marketing representatives

provided

Stapletonwithgifts,meals,alcoholdonationsand

golfoutingsduringhis

tenure

withthePLCB.

THEFOLLOWING FINDINGS

RELATE

TOALLEGATIONS THATSTAPLETON

SOLICITED

WINE

AND/

OR

SPIRITS

FROM

PLCB

VENDORSFORUSEBYTHE

KEYSTONEWEEKEND

ATATIME

WHEN

STAPLETON

W AS

RESPONSIBLE

FOR

APPROVING PLCBVENDOR LISTING S/DELISTING S.

40.

The

Keystone

Weekend,Inc. (eystone Weekend)is

a

501(c)(

3)

non-

profit

corporationestablished

by

Stapleton

and

his

then

wife,

Kelly

Beaudin

Stapleton.

a. CreationdocumentsfortheKeystoneWeekend

were

filedwiththe

PennsylvaniaDepartment

of

State,CorporationBureau,onFebruary7,

2008.

1. Entity

number3787530

was

assigned

to

theKeystoneWeekend

by

thePennsylvaniaDepartmentofState.


14/47

Stapleton,12-027

Page14

2.

The

registered

office

address fortheKeystone Weekend

with

the

PennsylvaniaDepartmentof

State

is1825Delancey

Street,

Philadelphia,Pennsylvania

19103.

41. Stapletonhasbeenan

officer/

directorfortheKeystoneWeekendsinceitsinception

in2008.

a. The

Keystone

Weekendisa

businesswith

which

Stapleton

is

associated.

b. Pursuanttoa

Pennsylvania

SupremeCourtcase,Rendellv.Pa.StateEthics

Commission,

983A.

2d

708 (

Pa.2009),

he

term

business,asdefinedby

Pennsylvania'

sPublicOfficialand

Employee

EthicsAct,65Pa.

C.

S.

102,

shouldbe

interpreted toincludenon-

profit

entities.

42. The

genesis

of

the

KeystoneWeekend isanannual,multi-dayevent,consisting

of

panel

discussions

tofosterthe

freeexchange

ofideas

on

significantissues

affectingPennsylvania society.

a. TheKeystoneWeekendisaprivate functionandcanonlybe

attended

by

invitation.

1. Althoughan

invitation

only

eve nt, here is

aregistration

feeforthose

planningtoattend.

2. Theregistration fee

does

notincludethecostoftransportation toor

from

theKeystoneWeekend

or

lodging.

43. TheKeystoneWeekend

publishes

itsMissionStatementasfollows:

Being

dedicated]

to

bringingtogether

innovative

leaders

froma

varietyof

disciplines

suchas

business,

government,

academia,the

arts, inance,

sportsandentertainment

to

promotealivelyexchange

of

ideas,

experiencesand

visions

inresponse tosignificant

issues

of

the

dayand

to

promoteinnovat ion

which

will

positivelyimpact

the

livesof

individuals

throughouttheCommonwealthofPennsylvania,

andacross thenation.

a. TheKeystone Weekendwebsite

included

an

e-mail

contact

for

Patrick

Stapleton

[email protected].

1. Thiswas

StapletonsCommonwealth

e-

mailaddress.

b. KeystoneWeekend attendeeshaveincludedgovernors,UnitedStates

senatorsandcongressman,mayors,statelegislators,collegepresidents,

corporatechiefexecutiveofficers,philanthropists, eaders in

the

artsand

humanities,physiciansandscientists.

44. Meals, ncludingmealspreparedbycelebritychefs,

and

alcoholicbeverages are

providedaspartoftheKeystoneWeekend.

45.

From

2008

through

2012,

the

Keystone

Weekend

heldannualevents

atthe

Hotel

Hershey inHershey,

Pennsylvania.

a. Annually,

eventarrangementswere

handledbetweenStapletonand/or

his

designeesand

representativesfrom

the

Hotel

Hershey.


15/47

Stapleton,12-027

Page15

46. Foryears

2008

through

2012,

KeystoneWeekendeventswereheldatthe

Hotel

Hershey

on

thefollowingdates:

Year Dates

2008

April

25,2008

April

27,2008

2009 May7, 009May10,2009

2010 May

6, 010

May

9, 010

2011

September

21,

2011

September

26,

2011

2012 September19,2012September23,2012

47. Keystone

Weekend

LLC,whileStapletonwasChairofthePLCB,acceptedbulk

delivery/

suppliedalcoholicbeverage(s)ro m vendorsofthe

PLCB

forutilizationby

attendeesattheKeystoneWeekend.

a. Business records

of

theHotel

Hershey

reflectthatwineandspiritswere

donated

for

KeystoneWeekendevents

held

in

2008

through

2011.

1.

Vendors

donatedwineand spirits thatwereserved

during

thecourse

ofKeystoneWeekend, ncludingscheduledreceptionsand

dinner

events.

b.

Keystone WeekendBanquet

Event

Ordersinclude

the

name(

s)

of

wine

and

spiritcompaniescreditedwithdonationsaspart

of

KeystoneWeekendevent

functions.

c.

Stapleton

utilized his

legalassistant,KristineFrancis,

rom hisprivate

law

practice tocoordinate

the

Keystone

events.

1. StapletonalsodiscussedKeystone Weekendwithmembersof

the

PLCBstaff, ncludingFaithDiehl,

Chief

CounseltothePLCB.

2. DiehlandotherPLCBofficials/staffoftenattendedKeystone

Weekendevents.

48.

Keystone

Weekend events includeddonated

wine

and/

or

spirits

served

for

the

following

purposes in

2010and2011:

a. WineTastings

1. 2010:

a.

Wine

tasting

inthe

Blue

Mountain Room with

wine

purveyor

providingitsownwineon5/7/10.

i Thespecificpurveyorwasnotidentified.

2. 2011:

a. Winetasting

in

the

CastilianRoom

on09/23/11

withwine

purveyorproviding itsownwine

to

include $

20.00

perbottle

corkage

fee.

i Thespecific

purveyor

wasnotidentified.

b. Meals,

and/

or

beverages:

1.

2010:


16/47

Stapleton,12-027

Page16

a. Casti l ianRoom

8:

00

p.

m.9:00p.

m.

Quality

Wines

ofSpain

donateddinnerwineswith $8.

00

perpersoncorkage fee.

i The

specific

wines

served

were

not

identified.

b. Celebritychefappearance in

theCasti l ianRoom

8:15p.m.

10:00

p.

m.,

A

Taste

of

Spaindinner.

2. 2011:

a. Castilian

Room

7:50p.

m.

10:00

p.

m.MajesticWineand

Spirits

donated

dinner

wineswith $

2,

500.

00

flatrate

conferencecorkage fee.

i

Specif icwinesprovidedbyMajesticWineandSpirits

are

detailed

below.

b. Celebrity

chef

appearance intheCastil ianRoom7:50p.

m.

10:00

p.m. ( innerevent).

c.

Other

alcoholservices:

1.

2010:

a. Self-servebarinthe

Milton

Hershey

suite

withallalcohol

to

be

providedviadonation

with

a 5.00perbottle corkage fee.

i The

self-servebar

was

left

setupfrom

Thursday,May

6, 010,at7:00

p.

m.until

Sunday,May9,

2010,

at

noon.

2.

2011:

a.

Hospitality

suite

in

the

Milton Hershey

parlor

with

all

alcohol

to

bedonated.

b.

Hospitality

bar (offproperty fullbar)

withdelivery

ofdonated

alcohol

from

Allied

Beverage.

In2010

and

2011,

Keystone

Weekend

LLC

paid thecorkage

fees

associatedwithKeystone

Weekend.

49.

Electronic

communications

betweenStapletonand/

or

representatives

acting

on

Stapleton

s

behalfand

PLCBvendorsdetail

thedialogue

as

todonationsbeing

provided for

the

2011KeystoneWeekend.

a. BusinessrecordsofMajestic

Wineand

Spiritsincludemultipleemail

communications in

relation

to

the

2011

Keystone

Weekend.

1. Multipleemailcommunications

regarding

the

2011

Keystone

Weekendweresuppliedspanningthe

date

rangeofAugust3, 011,

throughSeptember

30,2011,

as

summarized

below.

b. Business records

of

CharmerSunbeltG roup (Cap italW ine &

Spirits)

nclude

multiple emai lcommunications inrelation tothe2011KeystoneWeekend.


17/47


18/47

Stapleton,12-027

Page18

50. Stapletonpersonallyand/or [Stapletons

representatives,]

athis direction,accepted

donationsofalcoholfromPLCBvendors

for

the2011KeystoneWeekendwhich

were

valued

atinexcessof $1,581.

51

asdetailed

below:

a.

MajesticWine &

Spirits:

Inv.No.

Inv.

Product Desc Size Quantity/Type

Unit

Net

Date

No.

Amount Amount

295715 08/30/11

5 25 9147 B aro nFini

PnGrg 750ML

2/

Cases $

80.76 $

161.

52

5275041

R.Bilbao Crianza* 750ML 1/

Case $

79.91 $ 79.91

4042241 VidalFlryCdrRos* 750ML 2/Cases $ 86.59 $ 173.18

5 25 9147 B aro nFiniPn

Grg

750ML 2/Bottles $ 6.73 $ 13.46

203235 09/14/11

4042241

Vidal

Flry

Cdr

R os

750ML

2/

Bottles $

7.

22 $

14.44

315459 09/14/11

5275042

R.Bilbao

Crianza

750ML

2/

Cases $

79.91 $

159.

82

Total $ 341.12 $ 602.33

Indicates

one

hundredpercentbillback tosupplier

b.

CapitalWine &

Spirits/

Alliance

Group:

CW S Inv. CW S Inv. Supplier

Product Product Units

Total Description

Number

Date

Billed Obtained Cost Cost*

5200001116

09/30/11

Brown

Forman

Woodford $

21.45

2

45.47

Keystone

Spirit R S V $ 25.75 2 54.59 Weekend Event

Samples

Only

Bourbon $ 100.06

Herradura

Tequila

Anejo

5200001117

09/30/11 BrownForman Son

Cutrer

P $

19.18 9

183.

01 Keystone

Noir $

11.95 9

113.

99

SonCutrer $ 297.00

Chard

5200001194

09/30/11

Bacardi

Grey

Goose $

16.47 12 $

209.

50

Keystone

Vodka $ 14.16 2 30.02 Weekend Event

Bombay

Gin $ 8.

72

2 18.49

Sapphire $ 258.01

BacardiR um

Superior

5200001202

09/30/11 R e m y Rem yMartin $ 21.06 2 44.64

Keystone

CointreauUSA Cogn

VSOP $ 10.75 9 102.56

BearBoat $

147.20

Syrah

1800015859

10/31/11

R e m y

Bearboat $

6.

99

9

62.91

Keystone

CointreauUSA Sauv

Blc $ 51.99 2 103.98 Weekend

Illegible) $ 176.91** Event,

Scotch

samples

sic] purchased

@

store

Total $ 979.18

Includes

sales tax


19/47

Stapleton,12-027

Page19

51.

Between

2008

and

2011,

alcohol

wasdonatedtothe

Keystone

Weekendby

PLCB

vendorsat

no

charge toStapletonand/

or

theKeystoneWeekend.

a. Thequantitiesand

sources

for

allalcohol

donationsto

the

20082010

Keystone

Weekends

werenotascertainable.

b.

Executives

from

Capital

Wineand

Spirits,

Majestic

and

Southern

Wine &

Spirits

provided

sworn

statements

to

theInvestigativeDivision

admitting

that

quantitiesof

alcoholicbeverages

were

annually

provided to

theKeystone

Weekend.

1. For

the2009event,Southern

donated

and

deliveredfifty-one (

51)

casesofwine

including:

2007SauvignonBlanc,2007

Friulano,

2006

LaMozza

Morellino.

2. QualityofWinesofSpainprovided

anundetermined

quantityofwine

for

the

2010

event.

3. Allied Beve rage (Papar iello)provided wine/

spirits

forthe

2011

event.

52.

Keystone

Eventrecords

from

the

Hote l

Hersheydocument

the

highest

number

of

plate

counts

per

yearregardingmeals

tobe

served

as

follows:

Year PlateCount

2010

100

2011 90

53.

Theminimum

value

associated

withbottlesofwine

and/

orspirits

donated

tothe

2011KeystoneWeekendeventby

PLCB

vendors totaledatleast $1,581.51.

54. OnoraboutAugust23,2011,

Paparielloand Stapletonattended

a

dinneratZahav

Restaurant, ocated inPhiladelphia,priortothe

2011

KeystoneWeekend.

a.

Papariello

paid

for

dinner

expenses

totaling $

201.

96for

himand

Stapleton

at

Zahav,

on

August

23,

2011.

1.

Paparielloclaimed this

dinner

as

a

businessexpense.

b.

Stapleton

s50% hareofthedinner

expense

was $100.98.

c. Stapleton

didnot

reimburse

Papariello

for

any

portion

of

Stapleton

s

dinner

expe nse; however, Stapleton

paidfor

cocktails before

dinner

and

parking.

Stapleton

alsodrove

Papariello

toandfrom thedinner.

55.

Stapleton

provided

astatementtoCommission investigatorsonJuly15,2013,

duringwhich

Stapletonprovided thefollowinginformation:

a.

Alcohol

for

the

2008

through

2011

Keystone

Weekendevents

had

been

donated

by

combinationsofvariousvendors

over

theyears includingCapital

Wine &

Spirits,

SouthernWine &

Spirits

andMajesticWineand

Spirits.

b. Stapletonand/or

his

representativesat

his

direction

informedvendors

of

other

vendorsdonating

alcohol

to

theeventsand inquired as

to

theirinterest

in

supplyingdonations

aswell.


20/47

Stapleton,12-027

Page20

c.

Stapletonand/

or

his

representatives

athis

direction

informed

thevendors

of

theamountofalcoholneededto

accom mod ate

x umberofindividuals.

d.

In

relation

to

questionsregardinghissolicitationandacceptance

of

alcohol

forKeystoneWeekendandpotential

Ethics

Actimplications,Stapleton

stated thathedidnotknow thatsuchdonationswere improperbut, fthats

a

violation,

thats

a

violation.

1. Stapletonassertedthat

thesesamevendorsroutinely

donate

to

charitiesand governmentevents, ncludingthepastinauguralevents

ofPennsylvania governors.

2.

Stapletonhas

loaned

KeystoneWeekend

LLC

substantialmonies,

goods

and

services (

n

excessof $

10,000)andhas

notbeen repaid.

56. Employees

ofthePLCBwereauthorized toattend theKeystoneWeekendevents

onFriday,

September

23,

2011. Employees

were

notrequiredtosubmitleaveto

attend

theevent.

THEFOLLOWING

FINDINGS

RELATE

TO

ALLEGATIONS

THAT

STAPLETON

ACCEPTEDOFFERS

FROM

APLCB

VENDOR

TO

PARTICIPATE

IN

THE2010AND

2011

AT&

TPRO-AMS

AT/

OR

ABOUT TIMESWHEN

STAPLETONW ASRESPONSIBLE

FOR APPROVING

LISTING S/DELISTING SAND

PURCHASES

WHICH INCLUDED

PRODUCTS

FROM

T HEOFFERINGVENDOR.

57. In2010

and

2011,

CapitalWineand

SpiritsinvitedStapletonand members

of

the

PLCB

to

participate in

Pro-

Amgolfeventsoccurring

attheAroniminkGolfClub.

a.

AroniminkGolfClubisa

private

countryclublocated

at

3600

St.

Davids

Road,Newtown

Square,Pennsylvania 19073.

b.

T he

golf

club

hasachampionshipgolf

course

thatisratedasoneofthetop

golfcourses intheUnitedStates.

c. Mr.Stapleton is

amember

ofAronimink

Golf

Club,andwas

amemberin

2010and2011.

58.

The

AT&

TNationalGolf

Tournament (AT&

T

Tournament)

washeldat

Aronimink

GolfClubduring 2010

and

2011.

a. T heAT&TTournament waspart

of

theProfessionalGol fAssociation (PGA)

Tour, nwhichweekly tournamentsareheldacross thecountry.

b. T he

AT&

TTournament

at

AroniminkGol fClubwasmanagedand organized

bytheTigerWoodsFoundation

for

thePGA.

1.

The

Tiger

Woods

Foundat ion

was

established in

1996

by

Tiger

Woods

andhisfather,Earl

Woods,tocreate

and

support

community-

based

programs that improve

the

health,education and welfare

ofall

children

in

America.

2.

Oneoftheprogramssupportedwasthe

AT&

T

Tournament.

59. TheAT&TTournamentis

normally

heldfrom

Monday

throughSunday.


21/47

Stapleton,12-027

Page21

a. From Monday

through

Wednesday,Pro-A m Tournamentsareheld, nwhich

amateurs

will

playalongwithaprofessionalgolfer

for

afee.

b. TheactualPGA

golf

tournamentisheldfrom

Thursday

throughSunday.

c. Aspartofthe

AT&

TTournamentheldatAroniminkGolfClubin

2010

and

2011,

Pro-

Am

Tournaments

were

held

Monday

through

Wednesday.

60.

Costs

inassociationwith

playing

in

a

PGAPro-

Am

eventvaried dependingon

whetherornotagolferwassponsored.

a. Sponsors

ofPro-

A m eventsaregenerallyprovided

with

passestoparticipate

in

thePro-

Am

event.

b. T he

fees to

play

inPro-A m

events

varied

by

dayofweek

and

accompanying

professionalgolfer.

c. The

fees

couldrange f rom $1,200.00to $9,500.00.

61.

When

the

AT&

T

Tournament

was

held

at

Aronimink

Golf

Club

in

2010

and

2011,

the

Tiger

Woods

Foundation, inconjunction

with

the

PGA

Tour,

organized

and

managedthetournament.

a.

NeitherAroniminkGolf

Club

noritsmembersplayedanyrolein

the

tournament,nor

were

they

given

theopportunityforany

discounts

that

included

playing inthePro-Am.

62.

Aspartof

managing

andorganizingtheAT&T

Tournament

heldat

Aronimink

Golf

Club

in2010, he

Tiger

WoodsFoundationoffered

sponsorships

tovarious

corporationsandbusinesses.

a.

One

ofthe

sponsors

oftheTournamentwasBacardi,USA.

63.

Bacardi,

USA

is

a

division

of

BacardiLimited,

the

largest

privately

held

family

owned spirits

companyinthe

world.

a. CapitalWineandSpiritsservesasabroker

for

BacardiinPennsylvania.

64. In

2010,

Bacardi,USAdonatedapproximately $140,000.

00

tosponsormultiple

TigerWoodsCharityGolfEvents intheUnitedStates,which included theAT&T

TournamentheldatAroniminkGolfClub.

a. Aspart

ofbeing

asponsor

forevents

involvingtheTiger

Woods

Foundation

in

2010, hree (3)

icketswereprovidedbyBacardi,

USAto

itsbroker in

Penns ylvania (Capital

Wine &

Spirits)

oparticipate

inthe

AT&

TPro-Am

heldatAroniminkGolfClub.

65.

As

avendor

ofthe

PLCB, CapitalWine &

Spirits--

brokerfor

Bacardi,USA--

nvited

Stapleton,along

with

PLCBBoardMemberRobert

Marcus

andPLCBCEO

Joe

Conti,to

participate in

the2010AT&TPro-

Am


a.

CapitalsPresident, MarkLittles, providedtheinvitationto

Stapleton,

Marcus,and

Cont i

at

atimewhen

CapitalWine &

Spirits

served

as

broker

formultiple

products

l isted/pending listingbefore

thePLCB.


22/47

Stapleton,12-027

Page22

b. Littles,Stapleton,Conti

and

Marcusareall

experienced

golfers,withgolf

handicapsestablished bytheUnitedStatesGolfAssociation.

66. Stapleton,JoeConti,PLCB

CEO,

and RobertMarcus,PLCBMember,played inthe

Pro-

Am

attheAT&TTournamentonJune28,2010,atAroniminkGolfClub.

67.

The

following

packaged

benefits

were

included

in

the

2010

Pro-

Am:


23/47

Stapleton,12-027

Page23

PackageBenefits

One (

1) laying

spotin

the

AroniminkPro-AmonMonday,

June

28,

2010,

with

aPG ATourProonthetournament

course (

1

professional,

4

amateurs);

One (1)Pro-Am

gift

package

valued

at $197.

62each;

FoodandbeveragethroughouttheMonday

Pro-

Amevent,

ncluding

breakfastandareception tofollowplay;

One (

1)

roniminkPro-AmBadge (goodforadmiss ion

all

weektothe

clubhouse/grounds/ockerroom accessonMondayonly);

One (

1) roniminkPro-Am

guestbadge (good

for

admissionallweek

into

clubhouse/grounds)

One (

1) lubhouse

parkingcreden tial (validMonday

only)

a.

Stapleton

assertsthathedidnotavailhimselfofthePro-Amgift

package.

68.

Capital

Wine &

Spirits

recordsdetailing

cash

receipts

for

the

month

of

July

2010,

document

cashdeposits

from Stapleton,Conti,and

Marcus

forparticipation in

the

2010AT&T

Pro-Am

asshown

inthe

chartbelow:

Date

Name Description

Payment

Method Amount

07/08/2010

Stapleton PLCB Donation

Cash $ 160.

00

07/08/2010

Cont i

PLCB Donation Cash $ 200.00

07/08/2010 Marcus PLCB Donation Cash $ 100.00

a.

The

payments

received

byCapitalWine &

Spirits

weresubsequent ly

donatedtotheAmerican

Diabetes

Association.

69.

InhisstatementtotheCommission

on

July

15,

2013,Stapleton

saidthathe

provided $160aspaymentforthe2010

AT&

TPro-Am. Stapletonestimated the

approximate

cost

of

the

value

of

his

round

of

golf

based

onhis

membership at

Aroniminkandthat

hedid

notavail

himselfof

the

fullbenefits

package.

70.

In

2011,Bacardi,USA

donated

approximately $80,

000.

00

to

sponsor

multipleTiger

WoodsCharity

Golf

EventsintheUnitedStates,whichincludedthe

AT&

T

Tournament


a. Aspart

of

beingasponsorforevents involvingtheTiger

Woods

Foundation

in2011, hree (

3)

icketswereprovidedbyBacardi,USA

to

itsbroker in

Penns ylvania (

Capital

Wine &Spirits)

o

participate inthe

AT&

T

Pro-

Am


b.

In

addit ion

to

the

three (3)

ickets

toplayin

thePro-Amin

2011,Bacardi

receivedmany

of

the

same benefits

that

it

had

received

in

2010.

71. Asavendorof

the

PLCB, CapitalWine &Spirits --bro kerfor

Bacardi,

USA--nvited

StapletonandContitoparticipateinthe2011

AT&

T

Pro-

AmheldatAronimink Gol f

Club.

a. CapitalsPresident, MarkLittles,

provided

the

invitation

toStapleton

and

Contiat

a

timewhenCapitalWine &Spiritsservedasbrokerformultiple

products

l isted/pending listingbeforethePLCB.


24/47

Stapleton,12-027

Page24

72. Leadingupto

the

2011AT&T

Tournament,

MarkLittlesandStapletonexchanged

thefollowingemails:

Littlesto

Stapleton

April

15,2011,3:03p.

m.

HiPJ,

Hope

all

is

well

with

youandyou

are

gettingready

for

a

good

weekend

GreatnewsGreyGooseissponsoringtheAT&Tgolfeventatyourhomecourse

again thisyearandthey

would

like

for

youandIotakepartintheGolfProAm

th

on

Wednesday

June29.

Please letme

know

ifyoucanmakeitand

whoelse

youwant

to

join

us

that

dayJoe

Conti?

th

Tuesday

nightthe28, wecan

participate

topickourproandteetime.

Speak

with

yousoon.

Mark

LittlestoStapleton

May25,2011,8:50a.

m.

Hi

PJ

Good

spending

time

with

you

in

Arizonaandcongratulations again

Having

read

the

sports

section

of

the

inquirer

this

morning,

I

was

reminded

of

the

UpcomingAT&TPro

Am,

as

they

hadTigerWoodsatAroniminkyesterday.

TheProAmisWednesday6/29andwepickoutourtimeandprowewantat

Dinnerthenightbefore,Tuesday6/

28.

BobMarcuscannotjoinussoI

willbe

calling

Joe

Conti

to

complete

the

foursome

andhopefullyhecanmakeit.Bartand

Kevinwantto

caddyfor

youandJoe,Hopefully that

will

not

hurt

yourgame too

much

Mark

Stapleton

toLittles

May

25,2011,

7:

29

p.

m.

Canthurtmyweakgame.Lookingforward toit.

Littles

to

Stapleton

June

20,

2011

3:

38

p.

m.

Hi

PJ

Hopeyouhadagood fathersdayandgottowatchsomeofthe

US

Open.

Wehaveapacket

for

you

for

thePro

Am

nextweek.passes, parking, nvites,

etc.alongwitha

Grey

Goosegolfbag

from

Bacardiifyoucanuseit

Kevinandbartaregoing to

be

inHarrisburg

on

Wednesdayand

will

drop

off

the

Packet.

If

youcanusethegolfbag,wecanbringtoProAm.

Seeyou

nextweek.

Thanks,

Mark

Stapleton

toLittles

June20,2011,

6:

37

p.

m.

Thx

Mark.

Probably

will

not

need

the

bag.

73. Stapletonplayed in

thePro-A m at

the

AT&T

Tournamenton

Wednesday,June

29,

2011,at

Aronimink

GolfClub.

74.

Thefollowingpackaged benefits were included inthe

2011

Pro-Am:

Package

Benefits


25/47

Stapleton,12-027

Page25

One (1) layingspotin

theAT&

T

nationalPro-A m

onWednesday,June29,

2011

with

aPGATour

Pro

on

the

tournament

course (

1professional,3

amateurs);

One (

1)

Pro-Am

VIPgift

package

valuedat $

487.

70perplayer;

Food

and

beveragethroughout

the

Wednesday

Pro-

Am

pairings

reception;

One (

1)

ontestant

badge (hatallowsyouinside theropesonWednesday

duringyourroundandis

also

goodforadmission

all

weektothe

clubhouse/grounds;

One (

1)

Pro-

Amguest

badge (

goodforadmission

all

weekto

the

clubhouse/grounds);

One (1) lubhouse parkingcreden tial (validWednesdayonly).

a. Stapleton

assertsthat

hedidnotavail

himself

ofthe

Pro-AmVIP

gift

package.

75.

Capital

Wineand

Spiritsrecords

did

not

reflect

any

payment

by

Stapleton

to

Capital

Wine &

Spirits inassociation

withStapleton

splayinginthe2011AT&TPro-

Am.

a.

Stapletonass erted [

that

he] ssued

payment

to

Littles

in

the

amountof

300.

00.

b. Capitalrecords

haveno

evidence tosupportStapletonsclaim.

c. Stapletonhasprovided AT Mwithdrawalreceipts

to

corroboratehispayment

of $300.

1.

Stapleton

estimatedtheapproximate cost

of

thevalue

of

hisround

of

golfbased

on

his

membership

atAronimink.

T HE

FOLLOWING

FINDINGSRELATETO

STAPLETON

SRECEIPT

OF

GIFTSAND

HOSPITALITY

FROM

VENDORS INASSOCIATION

WITHGOLF

OUTINGS/EVENTS

ATTENDED

WHILE

STAPLETON,ASAMEMBER A ND CHAIRMAN

OF

THEPLCB,

WAS

RESPONSIBLE

FOR

APPROVING LISTINGS/DELISTINGS ANDPURCHASES OF

ALCOHOLICBEVERAGE,WHICH

INCLUDEDPRODUCT

FROM

THE

VEND OR/SUPP LIERS SPONSORING T HEOUTINGS.

76. Between 2009and2011,Capitalorganizedgolfoutingswhich

included

officialsand

management

employeesofthePLCB.

a. Stapletonwasone

ofthePLCB

employees/officials

invited to

theseevents.

77.

Robert

Sirota

is

employed

as

the

General

Manager,

AllianceDivision,

for

Capital

Wineand

Spirits.

a. As

General

Manager,

Sirota

servesasthe

directliaison

betweentheAlliance

suppliersandCapitalWineandSpirits.

b. Sirota

reportsdirectly

toMarkLitt les,

President,CapitalWineand

Spirits.

78.

Inorabout2009, heconceptfor

an

AllianceGolfOpenwas

conceived

asa

collaborative

effort

betweenSirotaand

members

oftheAlliance.


26/47

Stapleton,12-027

Page26

a. Thegolfoutingwas

organized

asameansbywhichCapital

Wine

and

Spirits

andtheAlliancesupplierscouldstrengthen theirrelationship withthePLCB

and toallowvariousAllianceseniormanagementofficials tohave acetime

withPLCBofficials.

79. SirotaservedastheCapitalWine

and

Spirits lead/

point

ofcontact inrelationto

organization

of

the

Alliance

Golf

Open.

a.

AlthoughSirota

servedas

theeventlead, ndividualsto

be

invited

from

the

PLCBwere

determined

through

a

collaborationbetweenSirota,Littles,

Christine

Desmond (DirectorofMarketingandBusiness

Analytics,

Capital

Wine

andSpirits),and/ortheAll iancesuppliers.

b.

Actual

invitations

toPLCBofficials for

theeventwere

made

byLittlesand/

or

Desmond.

80.

AllianceGolfOpeneventswereheldin

2009,2010,

and

2011.

a. Sirotaserved as

theCapital

WineandSpirits

organizer

for

the

eventeach

year.

b. Invitees

to

the

2010

and

2011events

were identified inthe

same

manneras

in

2009.

c.

Actual

invitationsforthe2010and2011eventsweremadebythe

same

individualsasthe

2009

Open.

d.

Stapleton

didnot

participate

inthe2009AllianceGolfOpen.

81.

The2010

and

2011

AllianceOpenwereone-

day

events

consisting

of

morning

travel (

ifnecessary),

a

warm

up

session,

unch,a

round

of

golf (

eighteenholes),

and

dinner

inthe

evening.

a.

Sirota

developed

the

it inerary

for

each

respective

Alliance

Open.

b.

No

specifictimeslotwasdesignated/reservedfor

any

specific

business/

product

presentation byCapitalWine

and

Spirits

and/

orthe

All iancesuppliers.

c.

Records

do

notindicate any

business/

product

presentationsweremadeby

CapitalWine

andSpiritsand/or

theAlliance

suppliersat

theevents.

d. Inhis

statement

totheCommissionon

July

15,2013,Stapletonasserted that

the

eventhada

businesspurpose

and

recalledattending

a

business

presentation.

e.

Whenpairing

golfers,

a specificintent

was

made

to

pair

a

PLCB

official/employeewith

an

A lliance /Cap italrepresentative.

82. T he

costs

associatedwiththe2010and 2011AllianceGol fOpen

were

bornebythe

All iancesuppliersandCapital

Wine

andSpirits.

a. Thetotal

costsof

theevents

weredivided

into

fourequalamountsto

bepaid

by

CapitalWineand

Spirits,Bacardi, Brown

Forman,andRemy.


27/47

Stapleton,12-027

Page27

83. The2010

Alliance

GolfOpenwas

held

attheRiverCrestGolfClub,100GolfClub

Drive,

Phoenixville,PA19460

on

July

15,2010.

a. Theroster/tinerary

for

the2010Alliance

Open

identified theindividuals

participatingasshownbelow:

Group

No.

Player Affiliation

1 PJ

Stapleton

PLCB, Board

Member/Chairman

Joe

Davolio

Capital

Wine &Spirits:T heCharmerSunbelt

Group,

Executive

VP

Capabil ityDevelopment

MarkLittles CapitalWine &Spirits:

The

CharmerSunbeltGroup,President

Al

Bruni

Bacardi

US A

GroupNo. Player Affiliation

2

JoeConti

PLCBChief

Executive

Officer

Kevin McCarty CapitalWine &

Spirits:TheCharmerSunbelt

Group,VP

Com pliance & Administration

Matt

Symanski

Brow n-Form an,

Territory

Sales

Manager

R obSirota CapitalWine &

Spirits:

T heCharmerSunbeltGroup,Directorof

AllianceBrands


3 JimShort PLCB,Director

ofMarketing

Mike

R em itz R em y

Cointreau

USA,

VP/

Division

Manager

Bart

Pio CapitalWines &

Spirits,

Chairman

Scott

Pickford Bacardi

US A


4

Matt

Schwenk

PLCB,DirectorofProductSelection

Dave

Franke Brown-Forman,StateManager

PA/DE

Brad Moser

R e m yCointreau

USA,

Regional

Sales

Manager

Cristina Capital

Wine &

Spirits:T he

CharmerSunbelt

Group,

Directorof

Desmond Marketing

and

Business

Analytics

1. Fifteen (

15)

ndividualspart icipatedinthe2010Alliance

Open,

including three (3) LCBofficials/employees.

b. Theit inerary

for

theeventdocumented thefollowingactivities:

11:00

a.

m.

Warm

up /

Range-

River

Crest

Golf

Club

12:00p.

m.

Lunch-Greenside Grille

1:00 p.

m. First

GroupTeeTime

1:

10

p.m. SecondGroupTeeT ime

1:

20

p.m. Third

Group

TeeTime

1:30 p.

m.

FourthGroupTee

Time

th

5:00 p.

m.

19 Hole-

Cocktails

at

the

Club

HouseBar

6:00 p.

m.

Hotel

Check

In-Hotel

Fiesole Skippack,

PA

7:00 p.

m. Cocktails

atBastaPasta

inSkippack

7:45p.

m.

DinneratParcBistro in

Skippack

84. Records

ofCapitalWine

and

Spirits inreference tothe

July15,

2010,AllianceGol f

Opendocumented expenses incurred intheamountof $7,363.

00.

a. Thedocumentmemorializingthecostofthe

event

wasupdatedonJuly16,

2010.

b. Theinvoicedocumented theexpensebreakdownas:

Description Costs

Food &

Beverage $

4,263.00

Golf $ 1,280.

00

Golf

Swag

Bags $ 1,

600.00

Forecaddies $

220.00


28/47

Stapleton,12-027

Page28

Description Costs

Total $

7,

363.00

c. T he

costof

theevent

toCapitalWine

and

Spirits

and

eachAlliancesupplier

wasapproximately $1,

840.

75 ($7,

363.

00 4).

85. Documentedexpensesassociated with

the

2010AllianceGolf

Open

totaled

a

minimum

of

approximately $

7,

363.

00.

a. Fifteen (

15)

ndividuals

participated

inthe

2010

AllianceGolfOpenan d

incurredexpensestotaling $7,363.00.

Stapletonissued

nopersonal

paymenttoCapitalWine &Spiritsand/ortheAllianceGroupfor

his

participation intheouting.

b. Stapletonasserts

that

he

estimates

thevalueofthegolfouting

as

approximately $

100.

00to $

120.

00,

andthat

hedid

notavail

himselfof

the

entirety

oftheexpensesas

detailed

above.

86.

Athird

AllianceOpen

wasarrangedbyCapitalWine &

Spirits

for

officialsofthe

PLCB in

2011.

a. MarkLittles,

Capital

Presidentextended

an

invitationtoContiand PLCB

Chairman PatrickStapleton.

87.

MarkLittlesof

CapitalW ine &Spirits

sent

anemail

toConti

and StapletononMarch

30,2011,

at

10:53

a.

m.

which

includedJamesShort,MarketingDirectorofthe

PLCB, along

with

CapitalemployeesRobertSirota,Cristina DesmondandKevin

McCarty. Thesubjectof

the

e-

mail

wasAllianceMeeting

and

includedthe

following:

PJ/Joe,

Onbehalfofour

Alliance

partners,Bacardi,

Brown

Formanand

Remy,

Iwould

like

to

Extend

an

invite

to

the

PLCB

Board,

Joe,

Jimand

members

of

Jim

s

team,

to

an

AllianceOutdoormeeting

at

Philadelphia

CC.

We

would

like

to

see

if

either

7/

14

or

7/21wouldWorkfor

you.

Thedays [sic]

agenda

wouldbe:

Lunch12-1

OutdoorMeeting1-5

Dinner6-8

Thiswouldalltake

place

atPhiladelphia CC.

We

couldsecurerooms

at

Marriott

Conshohocken for

anyone

wanting to

stay

overnight.

Please letusknow

which

date

worksbest

for

youandwecan

startsetting

upthe

details.

Thankyou,

Mark

88.

Sirotaforwardedane-

mailon

June

27,

2011,

at

10:26a.m.

o

Capitalofficials

includingLittles,

Desmond,

andMcCartyregarding thethirdAlliance

Open

which

included

confirmingthe

date

of

July14

atthePhiladelphia

CountyClub.


29/47

Stapleton,12-027

Page29

a. Desmondrespondedon

June

27at11:00a.

m.

asfollows:

I

havecommunicated

thisinformationtoJim (Short)andMatt (Schwenk).

Kevin (McCarty)

and

Mark (Littles)

shouldhandle

Joe (Conti),PJ

Stapleton),and

Hitz.

1.

Doug

Hitz

is

the

PLCBDirector

of

Planning

and

Procurement.

89.

Littles

sentanothere-mailtoContionJune27,2011,11:44a.

m.

with

thesubject

m atter

Third

Alliance

OpenJuly14alongwithattachments,andincludedas

follows:

Joe,herearethedetailsonthe

Alliancemeeting

for

7/14.Thanks Mark

90. The2011

Alliance

GolfOpenwasheldat

the

PhiladelphiaCountryClub,1601

SpringMillRoad,Gladwyne,PA19035

on

July

14,2011.

a. Theroster/tinerary

for

the2011Alliance

Open

identified theindividuals

participatingasshownbelow:

Group

No.

Player Affiliation

1 PJStapleton PLCB,BoardMember/Chairman

MikeLeibick

Mark Brown-

Forman,

VicePresident/

Director

CentralStates &

Satterthwaite Canada

Mark

Littles

Capital

Wine &

Spirits:

The

CharmerSunbelt

Group,President

GroupNo.

Player

Affiliation

2

JoeConti

PLCB,ChiefExecutiveOfficer

MikeRemitz

R e m yCointreau

USA,VP/

DivisionManager

Todd Pemble

Bacardi

USA,Regional

Director

Matt

Symanski

Brow n-Form an,TerritorySales

Manager

Group

No. Player

Affiliation

3

Jim

Short

PLCB,

DirectorofMarketing

Guil lermo Bacardi,

V.P./

Managing

Director -EastCommercialBusiness

Rodriguez Unit

John

Higgins

Wirtz

Beverage

Nevada,

Sales

Manager

R obSirota Capital

Wine &

Spirits:

The

CharmerSunbeltGroup,Director

ofAllianceBrands


4 MattSchwenk PLCB,DirectorofProductSelection

Scott

Pickford Bacard iUS A

Cristina

CapitalWine &

Spirits:

The

CharmerSunbeltGroup,Director

Desmond ofMarketing

and

BusinessAnalytics

Brad Moser R em y

Cointreau

USA,RegionalSales

Manager

GroupNo. Player

Affiliation

5 Doug

Hitz PLCB,

BureauDirector

Kevin

McCarty

CapitalWine &Spirits:TheCharmer

Sunbelt

Group,VP

Com pliance & Adm inistration

Dave

Franke Brown-Forman,StateManager

PA/DE

Rich

Byrne R e m y

Cointreau,

Field

Marketing

Director

1.

Twenty individualsparticipatedinthe

2011

AllianceOpen.

b. The

it inerary

for

theevent

documented

the

followingactivities:

11:00

a.m. Warm

up/

Range-PCC

11:30

a.m.

Lunch-

TheTerrace

12:40p.

m. First

GroupTee

T ime

12:50p.

m.

SecondGroupTee

Time


30/47

Stapleton,12-027

Page30

1:00p.

m.

ThirdGroupTeeT ime

1:

10

p.m. FourthGroupTeeT ime

1:

20

p.m. Fifth

Group

TeeT ime

5:00p.

m.-

6:30p.

m.Cocktails

on

theTerrace

5:00p.

m.-

6:30p.

m.

Hotel

Check

In-Conshohocken

Marriot

7:00p.

m.

Dinnerat

Philadelphia

CountryClubon

the

Terrace

c.

The

itinerary

for

the

event

documented

hotel

accommodations

available

at

theMarriott,111Crawford

Ave,

West

Conshohocken,

PA19428.

91.

PLCB

attendees

at

theeventincludedShort,

Conti,

Schwenk,Stapleton,and Doug

Hitz,

PLCB

BureauDirectorforPlanning

and

Procurement.

a. Pennsylvaniais

currently

thelargestpurchaser

of

wineandspiritsinthe

United

States

andis

the

second largestworldwide. ThePLCB

owns

and

operates

over600

statestores

throughout

theCommonweal th

and

is

responsibleforthepurchaseand distribution

of

allwineand

spiritswithin

the

state. PLCB employeesattendsuchevents inorder

to

developrelationships

with

vendorsthatsupplyproducttothePLCB.

92.

The

2011

Alliance

Open

wasa

marketing

event

sponsored

by

companies

selling

wine/

spirits

to

thePLCB

through

CapitalWineand

Spirits.

a. Activitiestaking

place

atthe

2011

AllianceOpen included

lunch,

eighteen

holes

ofgolf,cocktails,anddinner. Stapletonasserted thathedidnot

stay

for

theentiretyoftheevent.

93.

Records

of

CapitalWineand

Spirits

inreference

to

theJuly14,2011,AllianceGol f

Opendocumented expenses

incurred

at

the

Philadelphia

Country

Clubin

the

amountof $9,487.

96.

a.

Thebanquet invoice

generatedby

the

Philadelphia

Country

Club (Booking

No.017299)documentedabillingdateofJuly14,2011.

b. The

invoice

documented

theexpense

breakdownas:

Recap &

Total Costs

Services $ 2,

691.55

Resources $

6,

037.00

ServiceChg $ 592.14

SalesTax $ 167.27

Total $ 9,487.96

c. Stapleton issuednopersonalpaymentthatdaytoCapitalWine &

Spirits

and/

or

theAllianceGroup

for

hisparticipation intheouting.

d. Stapletonasserts

thatheestimates

thevalueofthegolfouting

as

approximately $

100.

00to $

120.

00,

andthat

hedid

notavail

himselfof

the

entirety

of

the

expenses

as

detailed

above.

94.

Stapleton

asserts

thathemadeareasonableeffort

to

ascertain

the

value

ofhis

roundofgolfandrepaythe

fullvalue

ofthegolf.

a. Stapletonaskedone

of

theindividualsassociatedwith

hosting

theeventhow

much

heowed fortheday. Theindividual

responded

thatStapletondidnot

oweanything,

asStapleton had

hostedtheindividualthe

prior

dayforlunch

andgolf.


31/47


32/47

Stapleton,12-027

Page32

a.

Expense

recordsofMarkLittlesreflect

Stapleton

attendingadinneronMay

13,2011,at

Mastro

sCity

Hall,

along

with

JamesShort

and

Capital

Managers.

b.

PLCB

members

are

also reflectedasattendingabreakfastand

drinks

event

hosted

byLittles onMay15,2011.

102.

Stapletonattended

the

2012

NABCA

Conference

held

atthe

Marco

Island

Marriott

GolfResort,Naples,Florida,onMay18and19,

2012.

a. Stapletonparticipatedin

golfoutings

onMay18and19,2012,that

were

paidfor

byvendorsofthePLCB.

1. Thevalueof

the

May18,2012,

golf

outing

arranged

byWhite

Rock

Distributors couldnotbedetermined.

2. T he value

of

theMay19,2012

golfouting

arranged

byBrown-Forman

was

approximately $

139.

00

perperson.

THEFOLLOWING

FINDINGS

RELATE

TO

STAPLETONSGENERALRECEIPT

OF

G I FT S

AND

HOSPITALITY

FR O M

VENDORS

AT

A

TIME

W H E N [

HE]

MADE

DECISIONSASTOTHEPURCHASING,

LISTING,

ANDDELISTING

OF

PRODUCT

FROMTHOSE

VENDORSAND/

OR

SUPPLIERS.

103. While

serving

as

the

Chairman

ofthe

PLCB,

Stapletonaccepted

meals/

hospitality

and/orgiftsfromLittlesand/orDesm ond, representatives

of

CapitalWineand

Spirits.

a. Littlesexpense

summar ies

document

meals/hospitalityreceived

and

accepted

by

Stapleton

as

detailedinthe

chartbelow:

ActivityDate NetAmount Description AdditionalText

07/21/

2010 $

460.

75

DinnerPLCB

NewStore

opening

VIP

New

Hope,

Marsha

Browns,

PJ

Stapleton

event

PLCB

Board,

Gina

Gallo

07/22/

2010 $

1,354.33 Lunch, Me eting,Dinner

PLCBNew

NewHopePLCBNewStoreOpening,

PJ

Store Opening

Stapleton,

Joe

Conti,

TomGoldsmith,Bob

Marcus,CW S Managers,Golf,

Lunch,Dinner

12/15/2010 $ 642.60 Dinner, Drinks,

PLCB

Buyers,Dan

Elements,

Pittsburgh,PLCBBuyers, nfinium,

Ankroydvisit CW S

0

Ethics Panel Adjudication for Patrick Stapleton

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