Parties to Crime and Vicarious Liability
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Liability of Financial Institutions for Aiding and Abetting Violations of Securities Laws Sally Totten Gilmore
Washington and Lee Law Review Volume 42 | Issue 3 Article 4 Summer 6-1-1985 Liability of Financial Institutions for Aiding and Abetting Violations of Securities Laws Sally Totten Gilmore William H. McBride Follow this and additional works at: https://scholarlycommons.law.wlu.edu/wlulr Part of the Securities Law Commons Recommended Citation Sally Totten Gilmore and William H. McBride, Liability of Financial Institutions for Aiding and Abetting Violations of Securities Laws, 42 Wash. & Lee L. Rev. 811 (1985), https://scholarlycommons.law.wlu.edu/wlulr/vol42/iss3/4 This Article is brought to you for free and open access by the Washington and Lee Law Review at Washington & Lee University School of Law Scholarly Commons. It has been accepted for inclusion in Washington and Lee Law Review by an authorized editor of Washington & Lee University School of Law Scholarly Commons. For more information, please contact [email protected]. LIABILITY OF FINANCIAL INSTITUTIONS FOR AIDING AND ABETTING VIOLATIONS OF SECURITIES LAWS SALLY TOTTEN GILMORE* WILLIAM H. MCBRIDE** Financial institutions recently have faced numerous lawsuits for allegedly aiding and abetting violations of the federal securities law. The authors hope their proposed model will balance the rights and obligations of the respective parties as well as the need for a consistent but fair approach based on economic realities. Liability for aiding and abetting arises from the knowing and substantial assistance of the commission of a securities law violation., The action or inaction of the secondary defendant (the aider and abettor) must have assisted the primary violator's wrongdoing, and the secondary defendant must have known of both the commission of the underlying violation and his own role in the matter. -
Scmf-11-0000315 in the Supreme Court of the State
SCMF-11-0000315 IN THE SUPREME COURT OF THE STATE OF HAWAI#I In the Matter of the Publication and Distribution of the Hawai#i Pattern Jury Instructions - Criminal ORDER APPROVING PUBLICATION AND DISTRIBUTION OF HAWAI#I PATTERN JURY INSTRUCTIONS - CRIMINAL (By: Recktenwald, C.J., Nakayama, McKenna, Pollack, and Wilson, JJ.) Upon consideration of the request of the Standing Committee on Pattern Criminal Jury Instructions to publish and distribute the revision of Criminal Instructions 6.01, 7.5, 10.00A(3), 10.05A, 10.05C, 10.07, 10.07A, 10.09, and 10.09A of the Hawai#i Pattern Jury Instructions - Criminal, IT IS HEREBY ORDERED that the request is granted as to the revisions proposed to Criminal Instructions 6.01, 7.5, and 10.00A(3), as amended in this order. IT IS FINALLY ORDERED that this approval for publication and distribution is not and shall not be considered by this court or any other court to be an approval or judgment as to the validity or correctness of the substance of any instruction. DATED: Honolulu, Hawai#i, May 5, 2017. /s/ Mark E. Recktenwald /s/ Paula A. Nakayama /s/ Sabrina S. McKenna /s/ Richard W. Pollack /s/ Michael D. Wilson 2 6.01 ACCOMPLICE A defendant charged with committing an offense may be guilty because he/she is an accomplice of another person in the commission of the offense. The prosecution must prove accomplice liability beyond a reasonable doubt. A person is an accomplice of another in the commission of an offense if: 1. With the intent to promote or facilitate the commission of the offense, he/she a. -
Virginia Model Jury Instructions – Criminal
Virginia Model Jury Instructions – Criminal Release 20, September 2019 NOTICE TO USERS: THE FOLLOWING SET OF UNANNOTATED MODEL JURY INSTRUCTIONS ARE BEING MADE AVAILABLE WITH THE PERMISSION OF THE PUBLISHER, MATTHEW BENDER & COMPANY, INC. PLEASE NOTE THAT THE FULL ANNOTATED VERSION OF THESE MODEL JURY INSTRUCTIONS IS AVAILABLE FOR PURCHASE FROM MATTHEW BENDER® BY WAY OF THE FOLLOWING LINK: https://store.lexisnexis.com/categories/area-of-practice/criminal-law-procedure- 161/virginia-model-jury-instructions-criminal-skuusSku6572 Matthew Bender is a registered trademark of Matthew Bender & Company, Inc. Instruction No. 2.050 Preliminary Instructions to Jury Members of the jury, the order of the trial of this case will be in four stages: 1. Opening statements 2. Presentation of the evidence 3. Instructions of law 4. Final argument After the conclusion of final argument, I will instruct you concerning your deliberations. You will then go to your room, select a foreperson, deliberate, and arrive at your verdict. Opening Statements First, the Commonwealth's attorney may make an opening statement outlining his or her case. Then the defendant's attorney also may make an opening statement. Neither side is required to do so. Presentation of the Evidence [Second, following the opening statements, the Commonwealth will introduce evidence, after which the defendant then has the right to introduce evidence (but is not required to do so). Rebuttal evidence may then be introduced if appropriate.] [Second, following the opening statements, the evidence will be presented.] Instructions of Law Third, at the conclusion of all evidence, I will instruct you on the law which is to be applied to this case. -
Aiding and Abetting Liability Under the Alien Tort Statute
To Proceed with Caution? Aiding andAbetting Liability Under the Alien Tort Statute Ryan S. Lincoln* I. INTRODUCTION Accomplice liability is central to many of the Alien Tort Statute (ATS) cases that have arisen since Filhrtigav. Peha-Irala.1 Many plaintiffs bring ATS claims against non-state actors for aiding and abetting tortious conduct by state actors and other principals, instead of against the principles themselves. The proliferation of actions against alleged accomplices is not merely an attempt to get around doctrines that shield state actors from liability, such as the act of state doctrine or the Foreign Sovereign Immunities Act. Rather, a globalizing economy has increased the involvement of third-party actors in regions of the world where alleged tortious activity often occurs. This has increased the number of ATS claims against defendants for aiding and abetting violations of the law of nations, and resulted in doctrinal confusion concerning the contours of these types of violations. While the Supreme Court's 2004 decision in Sosa v. Alvarez-Machain2 narrowed the scope of claims that could violate the law of nations and therefore be actionable under the ATS, it did not specifically address the question of accomplice liability. In footnote 20 the Court noted, but did not take up, the issue of "whether international law extends the scope of liability for a violation of a given norm to the perpetrator being sued, if the defendant is a private actor such as a corporation or individual."' 3 Following Sosa, plaintiffs have brought * J.D. Candidate 2011 University of California, Berkeley, School of Law; M.T.S Harvard Divinity School; A.B. -
Pattern Criminal Jury Instructions for the District Courts of the First Circuit)
UNITED STATES DISTRICT COURT DISTRICT OF MAINE 2019 REVISIONS TO PATTERN CRIMINAL JURY INSTRUCTIONS FOR THE DISTRICT COURTS OF THE FIRST CIRCUIT DISTRICT OF MAINE INTERNET SITE EDITION Updated 6/24/19 by Chief District Judge Nancy Torresen PATTERN CRIMINAL JURY INSTRUCTIONS FOR THE FIRST CIRCUIT Preface to 1998 Edition Citations to Other Pattern Instructions How to Use the Pattern Instructions Part 1—Preliminary Instructions 1.01 Duties of the Jury 1.02 Nature of Indictment; Presumption of Innocence 1.03 Previous Trial 1.04 Preliminary Statement of Elements of Crime 1.05 Evidence; Objections; Rulings; Bench Conferences 1.06 Credibility of Witnesses 1.07 Conduct of the Jury 1.08 Notetaking 1.09 Outline of the Trial Part 2—Instructions Concerning Certain Matters of Evidence 2.01 Stipulations 2.02 Judicial Notice 2.03 Impeachment by Prior Inconsistent Statement 2.04 Impeachment of Witness Testimony by Prior Conviction 2.05 Impeachment of Defendant's Testimony by Prior Conviction 2.06 Evidence of Defendant's Prior Similar Acts 2.07 Weighing the Testimony of an Expert Witness 2.08 Caution as to Cooperating Witness/Accomplice/Paid Informant 2.09 Use of Tapes and Transcripts 2.10 Flight After Accusation/Consciousness of Guilt 2.11 Statements by Defendant 2.12 Missing Witness 2.13 Spoliation 2.14 Witness (Not the Defendant) Who Takes the Fifth Amendment 2.15 Definition of “Knowingly” 2.16 “Willful Blindness” As a Way of Satisfying “Knowingly” 2.17 Definition of “Willfully” 2.18 Taking a View 2.19 Character Evidence 2.20 Testimony by Defendant -
Unreported in the Court of Special
UNREPORTED IN THE COURT OF SPECIAL APPEALS OF MARYLAND No. 0239 September Term, 2015 ______________________________________ LAWRENCEY JOHN BOONE v. STATE OF MARYLAND ______________________________________ Krauser, C.J., Nazarian, Moylan, Charles E., Jr. (Senior Judge, Specially Assigned), JJ. ______________________________________ PER CURIAM ______________________________________ Filed: January 5, 2017 *This is an unreported opinion, and it may not be cited in any paper, brief, motion, or other document filed in this Court or any other Maryland Court as either precedent within the rule of stare decisis or as persuasive authority. Md. Rule 1-104. ‒Unreported Opinion‒ Convicted, by a jury, in the Circuit Court for Prince George’s County, of second degree assault, Lawrencey John Boone, presents one question for review: “Did the trial court err in instructing the jury on accomplice liability?”1 Specifically, Boone contends on appeal that there was no evidence at trial that he acted as an accomplice. We affirm. Maryland Rule 4-325(c) provides: “The court may, and at the request of any party shall, instruct the jury as to the applicable law and the extent to which the instructions are binding.” “We review a trial court’s decision to give a particular jury instruction under an abuse of discretion standard.” Appraicio v. State, 431 Md. 42, 51 (2013) (citation omitted). “A requested jury instruction is applicable if the evidence is sufficient to permit a jury to find its factual predicate.” Bazzle v. State, 426 Md. 541, 550 (2012). The 1 The court instructed the jury as follows: The Defendant may be guilty of first degree assault, second degree assault, false imprisonment as an accomplice, even though the Defendant did not personally commit the acts that constitute that crime. -
Rape Reform and a Statutory Consent Defense Christina M
Journal of Criminal Law and Criminology Volume 74 Article 17 Issue 4 Fall Fall 1983 Rape Reform and a Statutory Consent Defense Christina M. Tchen Northwestern University School of Law Follow this and additional works at: https://scholarlycommons.law.northwestern.edu/jclc Part of the Criminal Law Commons, Criminology Commons, and the Criminology and Criminal Justice Commons Recommended Citation Christina M. Tchen, Rape Reform and a Statutory Consent Defense, 74 J. Crim. L. & Criminology 1518 (1983) This Comment is brought to you for free and open access by Northwestern University School of Law Scholarly Commons. It has been accepted for inclusion in Journal of Criminal Law and Criminology by an authorized editor of Northwestern University School of Law Scholarly Commons. 0091-4169/83/7404-1518 THE JOURNAL OF CRIMINAL LAW & CRIMINOLOGY Vol. 74, No. 4 Copyright 0 1983 by Northwestcm University School of Law P'ntedin US.A. RAPE REFORM AND A STATUTORY CONSENT DEFENSE I. INTRODUCTION For the past three hundred years, rape has been defined as sexual intercourse by force and against the victim's will. I The essential element distinguishing rape from non-criminal sexual intercourse was the vic- tim's lack of consent.2 In order to convict a defendant of rape, the pros- ecution has been required to prove the subjective element of lack of consent through a number of "objective" criteria, including proof that the victim resisted the assailant to the "utmost,"'3 that the victim cried out while being attacked, 4 that the victim filed a complaint '5 "promptly," and that her testimony has been corroborated. -
Bond University Research Repository Challenging Conceptions Of
Bond University Research Repository Challenging Conceptions of Accessory Liability in Private Law Ridge, Pauline; Dietrich, Joachim Published in: Cambridge Law Journal DOI: 10.1017/S0008197319000345 Published: 01/07/2019 Document Version: Peer reviewed version Link to publication in Bond University research repository. Recommended citation(APA): Ridge, P., & Dietrich, J. (2019). Challenging Conceptions of Accessory Liability in Private Law. Cambridge Law Journal, 78(2), 383-408. https://doi.org/10.1017/S0008197319000345 General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. For more information, or if you believe that this document breaches copyright, please contact the Bond University research repository coordinator. Download date: 09 Oct 2020 CHALLENGING CONCEPTIONS OF ACCESSORY LIABILITY IN PRIVATE LAW PAULINE RIDGE* AND JOACHIM DIETRICH** This article concerns recent challenges to the utility of ‘accessory liability’ as an organising principle or concept in private law and argues that accessory liability is a coherent body of law with common features that is worthy of separate, holistic treatment. We defend a conceptual framework for accessory liability which is dynamic in its operation and which does not dictate the precise legal content of accessory liability in different contexts. Such a conception of accessory liability has come under challenge from recent cases and commentary which either minimise the scope and analytical relevance of accessory liability altogether in equity and tort law or propound a conceptual framework for accessory liability that is fixed in its application and uniform in its content across the whole of private law. -
Classification of a Sample of Felony Offenses
NORTH CAROLINA SENTENCING AND POLICY ADVISORY COMMISSION CLASSIFICATION OF A SAMPLE OF OFFENSES (Effective 12/1/17) CLASS A FELONIES Maximum Punishment of Death or Life Without Parole First-Degree Murder. (14-17) CLASS B1 FELONIES Maximum Punishment of Life Without Parole First-Degree Forcible Sexual Offense. (14-27.26)/First-Degree Second-Degree Murder. (14-17(b)) Statutory Sexual Offense. (14-27.29) First-Degree Forcible Rape. (14-27.21)/First-Degree Statutory Rape (14-27.24) CLASS B2 FELONIES Maximum Punishment of 484* Months Second-Degree Murder. (14-17(b)(1) and (2)) CLASS C FELONIES Maximum Punishment of 231* Months Second-Degree Forcible Rape. (14-27.22) First-Degree Kidnapping. (14-39) Second-Degree Forcible Sexual Offense. (14-27.27) Embezzlement (amount involved $100,000 or more). (14-90) Assault W/D/W/I/K/I/S/I. (14-32(a)) CLASS D FELONIES Maximum Punishment of 204* Months Voluntary Manslaughter. (14-18) Child Abuse Inflicting Serious Physical Injury. (14-318.4(a)) First-Degree Burglary. (14-51) Death by Vehicle. (20-141.4(a)(1)) First-Degree Arson. (14-58) Sell or Deliver a Controlled Substance to a Person Under 16 But Armed Robbery. (14-87) More than 13 Years of Age. (90-95(e)(5)) CLASS E FELONIES Maximum Punishment of 88* Months Sexual Activity by a Substitute Parent or Custodian. (14-27.31) Assault with a Firearm on a Law Enforcement Officer. (14-34.5) Assault W/D/W/I/S/I. (14-32(b)) Second-Degree Kidnapping. (14-39) Assault W/D/W/I/K. -
Charging Accomplice Liability in Child Abuse Cases Rienced Child Abuse Prosecutors and Specialists in Forensic Pathology, Linguistics and Courtroom Demonstration
Volume 22, Number 6, 2010 N AT I O N A L C E N T E R F O R P R O S E C U T I O N O F C H I L D A B U S E UUppddaattee CHILDPROOF: ADVANCED TRIAL ADVOCACY FOR CHILD ABUSE PROSECUTORS APRIL 25 - 30, 2010 NATIONAL ADVOCACY CENTER COLUMBIA, SOUTH CAROLINA Designed for small groups of experienced child Moving Beyond Frustration with “Bad Moms:” abuse prosecutors, childProof offers participants a high student to faculty ration. Faculty are expe- Charging Accomplice Liability in Child Abuse Cases rienced child abuse prosecutors and specialists in forensic pathology, linguistics and courtroom demonstration. Course materials include an ex- tensive medical bibliography covering the most Kristina Marie Korobov, JD1 common injuries in child abuse cases including abdominal, internal and genital injuries. Tajanay Bailey is dead because her mother’s Often in these situations, the accomplice is boyfriend beat her to death when she was just four not charged, either because there is little CHILDPROTECT: years old. Charity chose her boyfriend over her recognition of the role that the accomplice TRIAL ADVOCACY FOR CIVIL CHILD PRO- four-year-old daughter. Without the participation of plays or because prosecutors need the testi- TECTION ATTORNEYS LIMITED SPACE AVAILABLE! APPLY BY her mother Charity, the boyfriend could not have mony of the accomplice. When prosecutors APRIL 29, 2010 killed her. Without Charity’s assistance, the do not, however, hold all participants in the JULY 19-23, 2010 boyfriend would have had no access to the child. abuse accountable, they are sanctioning this WINONA, MINNESOTA ChildProtect addresses a critical need for trial Tajanay’s “mother” had multiple opportunities to behavior. -
FELON's RESPONSIBILITY for the LETHAL ACTS of OTHERS Norval Morris T
[Vol. 105 THE FELON'S RESPONSIBILITY FOR THE LETHAL ACTS OF OTHERS Norval Morris t Far from shrinking under protracted criticism, the felony-murder rule has recently demonstrated a tendency to expand. In particular, courts in Pennsylvania and California have greatly extended the scope of this doctrine. Though their purpose of deterring the commission of certain felonies is commendable, the means selected appears to be socially unwise and is based on reasoning not free from substantial analytic and historical errors. Throughout the Anglo-American system of criminal justice, those who engage in certain felonies and kill the subject of their felonious designs, or those who kill while forcibly resisting lawful arrest, may be convicted of murder. Where, however, death is caused by the retaliatory or defensive action of a victim of an intended felony, or by a police officer or other person assisting him, the criminal responsibility of the felon for that death is less clear. In such circumstances an innocent bystander, a policeman or one of the felons may be killed by an act of justified resistance to the felony or by an act intended to prevent the criminal's escape. Are the felons, by virtue of their felony, murderers? Likewise, if during the course of a felony one of the felons from extraneous motives kills one of his fellow conspirators, the criminal liability of the surviving conspirators, other than the actual killer, is uncertain. Decisions in Pennsylvania and California have held the surviving felons guilty of murder in the first degree in all the above situations. It is proposed to review these cases, to search out the suggested basis of liability, and to urge the repudiation of this extension of the felony- murder rule. -
In the Court of Appeals of the State of Washington
Filed Washington State Court of Appeals Division Two April 26, 2016 IN THE COURT OF APPEALS OF THE STATE OF WASHINGTON DIVISION II STATE OF WASHINGTON, No. 47413-1-II Respondent, v. CHASE SCOTT POLEDNA, UNPUBLISHED OPINION Appellant. MELNICK, J. – Chase Scott Poledna appeals his convictions for theft in the first degree— welfare fraud and false verification of a welfare form. He contends the charging document was constitutionally deficient and the court violated due process by instructing the jury on accomplice liability. We affirm. FACTS Poledna and his girlfriend, Christy Curry, have three children. In late 2012, the family began receiving food benefits through the Department of Social and Health Services (DSHS). In May 2013, the couples’ two youngest children went to live with Poledna’s mother in Oregon. Poledna did not notify DSHS of the children’s change in residence. In August 2013, Poledna and Curry returned to DSHS to apply for Temporary Assistance for Needy Families (TANF) benefits. Both parents requested benefits for themselves and their 47413-1-II three children. At the bottom of each application, Poledna and Curry electronically signed their names by typing in their name and inputting a code. DSHS approved their requests. Benefits, however, ceased in December 2013 when Poledna notified DSHS that he was starting his own business. In February 2014, DSHS learned two of the children resided in another state with their grandmother beginning in May 2013. The State charged Poledna with theft in the first degree—welfare fraud1 and false verification of a welfare form2. Poledna objected to the sufficiency of the charging document, arguing it did not set forth the material elements of the charged offense.