I. Directive II. Purpose III. Policy IV. Definitions V. General Responsibilities VI
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White Collar Shortcuts
WHITE COLLAR SHORTCUTS Ellen S. Podgor* In the aftermath of financial and corporate frauds, aggressive gov- ernment policy is apparent. But while touting a crackdown to correct past prosecution failures, one sees the government using shortcuts in both agency policy and prosecutorial practices. These shortcuts can be seen in the investigative, charging, and plea areas. There is an increased use of search warrants and wiretaps, and there are also increased failures to adhere to criminal discovery obligations. So too, one sees the government charging shortcut offenses such as perjury, obstruction of justice, and false statements as opposed to the underlying conduct that was initially being investigated. Taking advantage of over-federalization and over- criminalization is seen in the stacking of multiple charges, tacking on con- spiracy and money-laundering offenses, and adding new plea waivers to secure finality of all issues and avoid future litigation. While these ag- gressive policy moves may seem efficient, the use of shortcuts has serious consequences that undermine deterrence and legitimacy in the criminal justice process. TABLE OF CONTENTS I. INTRODUCTION ........................................................................................926 II. AGENCY POLICY ......................................................................................931 A. Agency Shortcuts .............................................................................931 B. Corporate Misconduct Policy .........................................................933 -
The Dichotomy Between Overcriminalization and Underregulation
THE DICHOTOMY BETWEEN OVERCRIMINALIZATION AND UNDERREGULATION ELLEN S. PODGOR* The U.S. Securities and Exchange Commission (SEC) failed to properly investigate Bernard Madoff’s multi-billion-dollar Ponzi scheme for over ten years. Many individuals and charities suffered devastating financial consequences from this criminal conduct, and when eventually charged and convicted, Madoff received a sentence of 150 years in prison. Improper regulatory oversight was also faulted in the investigation following the Deepwater Horizon tragedy. Employees of the company lost their lives, and individuals were charged with criminal offenses. These are just two of the many examples of agency failures to properly enforce and provide regulatory oversight, with eventual criminal prosecutions resulting from the conduct. The question is whether the harms accruing from misconduct and later criminal prosecutions could have been prevented if agency oversight had been stronger. Even if criminal punishment were still necessitated, would prompt agency action have diminished the public harm and likewise decreased the perpetrator’s criminal culpability? Criminalization and regulation, although two distinct systems, can be evaluated from the perspective of their substantive structure—a universe of statutes or regulations—as well as their enforcement procedures, the prosecution of crimes, or enforcement of regulatory provisions. The correlation between criminalization and * Gary R. Trombley Family White Collar Research Professor and Professor of Law, Stetson University College of Law. The author thanks the participants in the Southeast Association of Law Schools (SEALS) discussion group titled, Three Felonies a Day?: Is There a Problem of White Collar Overcriminalization, and the participants in the faculty speaker series at the American University Washington College of Law. -
In-House Counsel Beware! Katrice Bridges Copeland Penn State Law
Penn State Law eLibrary Journal Articles Faculty Works 2012 In-House Counsel Beware! Katrice Bridges Copeland Penn State Law Follow this and additional works at: http://elibrary.law.psu.edu/fac_works Part of the Criminal Law Commons Recommended Citation Katrice Bridges Copeland, In-House Counsel Beware!, 39 Fordham Urb. L.J. 391 (2012). This Article is brought to you for free and open access by the Faculty Works at Penn State Law eLibrary. It has been accepted for inclusion in Journal Articles by an authorized administrator of Penn State Law eLibrary. For more information, please contact [email protected]. IN-HOUSE COUNSEL BEWARE! KatriceBridges Copeland Introduction ................................ ...... 392 I. Background ................................... 396 A. The FDA's Investigation of GlaxoSmithKline..................396 B. Prosecution Trends and the Lauren Stevens Case............399 1. Responsible Corporate Officer Doctrine .... ..... 400 2. Attorneys As Gatekeepers....... ................ 405 3. Pretextual Prosecutions and the Expansion of the Cover-Up Crimes .................................... 409 4. The Corporate Attorney-Client Privilege .... .... 412 5. Conclusion ............................. 416 II. The Legal and Policy Arguments ............... ..... 417 A. Misguided as a Matter of Law . ...... ................ 417 1. The Crime-Fraud Exception to the Attorney- Client Privilege ....... ...... ................... 417 2. Obstruction of Justice ...................... 422 3. The Advice of Counsel Defense ........... ....... -
Department of Justice Journal of Federal Law and Practice
DEPARTMENT OF JUSTICE JOURNAL OF FEDERAL LAW AND PRACTICE Volume 69 May 2021 Number 3 Director Monty Wilkinson Editor-in-Chief Christian A. Fisanick Managing Editor E. Addison Gantt Associate Editors Gurbani Saini Philip Schneider Law Clerks Rachel Buzhardt Joshua Garlick Rebekah Griggs Mary Harriet Moore Garrett Simpson United States The Department of Justice Journal of Department of Justice Federal Law and Practice is published by Executive Office for the Executive Office for United States United States Attorneys Attorneys Washington, DC 20530 Office of Legal Education 1620 Pendleton Street Contributors’ opinions and Columbia, SC 29201 statements should not be considered an endorsement by Cite as: EOUSA for any policy, 69 DOJ J. FED. L. & PRAC., no. 3, 2021. program, or service. Internet Address: The Department of Justice Journal https://www.justice.gov/usao/resources/ of Federal Law and Practice is journal-of-federal-law-and-practice published pursuant to 28 C.F.R. § 0.22(b). Page Intentionally Left Blank Technology & Law In This Issue Introduction ........................................................................................ 1 Puneet V. Kakkar & Jo seph Wheatley Overcoming Technical Obfuscation: NITs and Remote Search Warrants ................................................................................. 3 Puneet V. Kakkar & Joseph Wheatley Introduction to the FinTech Ecosystem ...................................... 23 Jill Westmoreland Rose, Kelli Andrews, & Karyn Kenny Privilege in Data Breach Investigations .................................... -
Title of Your Article
Legal theory workshop participants, Thank you for inviting me to present in your workshop. The attached draft has many shortcomings, but the most offensive one is its length. If you want to cut down on the time it requires to read, then it is easiest to skim over Section III. In order to leave as much time for questions as possible, I plan to discuss in detail only the first offense (Failure to Appear, in Section III.A), and so you might also opt to read that portion. The most critical portions of the article are sections II and IV. I look forward to seeing you shortly. Erin Murphy THE CRIME FACTORY: PROCESS, PRETEXT, AND CRIMINAL JUSTICE Erin Murphy* * Assistant Professor, UC Berkeley School of Law. I am grateful to my wonderful colleagues Sandy Kadish, Jonathan Simon, Chuck Weisselberg, Frank Zimring, Rachel Moran, Lauren Edelman, and especially David Sklansky, all of whom have given generously both in terms of time and thoughtful feedback with regard to this project. This paper benefited tremendously from comments given by participants in the Berkeley Law faculty colloquium and the Berkeley Law junior faculty working group. I must also thank Todd Edelman, along with the participants in the Harvard Criminal Justice Roundtable, including Rachel Barkow, Paul Butler, Jeffrey Fagan, David Garland, Brandon Garrett, Bernard Harcourt, Joe Hoffman, Dan Kahan, Nancy King, Nicola Lacey, Maximo Langer, Tracey Meares, Alice Ristroph, Stephen Schulhofer, Chris Slobogin, Jordan Steiker, Carol Steiker, Marie Sylvestre and especially Dan Richman, whose comments helped me to develop the ideas in this paper. Truly exceptional research assistance was given by Micaela Davis, Claire Yan, and Regina Waugh. -
The Criminal Investigation Process Volume Iii: Observations and Analysis
If you have issues viewing or accessing this file contact us at NCJRS.gov. r THE CRIMINAL INVESTIGATION PROCESS VOLUME III: OBSERVATIONS AND ANALYSIS PREPARED UNDER A GRANT FROM THE NATIONAL INSTITUTE OF LAW ENFORCEMENT AND CRIMINAL JUSTICE, LE.A.A~ DEPARTMENT OF JUSTICE PETER W. GREENWOOD, JAN M CHAIKEN, JOAN PETERSIUA, AND UNDA PRUSOFF WITH CONTRIBUTIONS FROM BOB CASTRO, KONRAD KEllEN, R-1778-DOJ SORREl WllDHORN OcrODER 1975 -, ;1 ',,' , ·· v--.... ~ ,,', ~I _•• ,;... .., ,:'. ~~'";~ ... r , ".,";.~ ... ~ r • '. ""·'V. ~ , .t,- co , ~ ,\ 01.. .' ~ CO ~ ... ~ '~fol . \ '1 • ,I' Rand SANTA MONiC A, ( A, '104i1f, . -,,--- . -," ~ " ""~ The research described in this report was prepared for the Department of Justice, Law Enforcement Assistance Administration, National Insti tute of Law Enforcement and Criminal Justice, under Grant 73-NI-99- 0037 -G. Points of view or opinions stated in this document are those of the authors and do not necessarily represent the official position or policies of the U.S. Department of Justice. Copyright © 1975 The Rand Corporation Published by The Rand Corporation THE CRIMINAL INVESTIGATION PROCESS VOLUME III: o BSERV AllONS AND ANALYSIS PREPARED UNDER A GRANT FROM THE NATIONAL INSTITUTE OF LAW ENFORCEMENT AND CRIMINAl JUSTICE, LEA.A., DEPARTMENT OF JUSTICE PETER W. GREENWOOD, JAN M. CHAIKEN, JOAN PETERSllIA, AND LINDA PRUSOFF WITH CONTRIBUTIONS FROM BOB CASTRO, KONRAD KELLEN, SORREL WILDHORN 148.118 U.S. Department of Justice National Institute of Justice This document has been reproduced exactly as received from the person or organization originating it. Points of view or opinions stated in this document are those of the authors and do not necessarily represent the official position or policies of the National Institute of Justice.