FEDERAL WHITE COLLAR CRIME CASES AND MATERIALSPDF电子书下载

Chapter 1. Introduction 1

A. Definition: Selecting Statutes for Study in "Substantive" Portion of the Course 3

B. Recurring Themes in Examining "Substantive" Federal Law 7

C. Practice: Selecting "Procedural" Topics Relevant to White-Collar Crime 32

D. Professional Responsibility 44

Chapter 2. Mens Rea 53

A. The Public Welfare Doctrine 55

B. Awareness of Legal Requirements 85

C. Other Doctrines and Defenses 94

Chapter 3. U.S. Sentencing Guidelines 105

A. Relevant Conduct and Grouping 108

Chapter 4. Entity Liability 147

A. Criminalizing Corporate Conduct 148

B. Principles of Liability 161

C. Department of Justice and SEC Charging Policies 185

D. U.S. Sentencing Guidelines: Organizational Sentencing 204

E. Corporate Internal Investigations 221

F. Managerial Liability: "Responsible Corporate Officer" Doctrine 230

Chapter 5. Perjury, False Statements, and False Claims 251

A. Perjury 251

B. False Statements 263

C. False Claims 291

D. Charging Considerations: Double Jeopardy 315

Chapter 6. Obstruction of Justice 327

A. The "Omnibus" Clause of 18 U.S.C. § 1503 328

B. Obstruction of Proceedings Before Congress and Federal Agencies Under 18 U.S.C. § 1505 353

C. Witness Tampering Under 18 U.S.C. § 1512 357

D. Sarbanes-Oxley Act of 2oo2 Prohibition of Destruction of Records and Whistleblower Provisions: 18 U.S.C. §§ 1519, 1520, 1513, 1541a 375

Chapter 7. Mail and Wire Fraud 381

A. Elements/Principles of Liability 384

B. Mail/Wire Fraud Exercise 469

Chapter 8. Public Corruption 473

A. Federal Bribery and Gratuities Under § 201 474

B. Extortion Under Color of Official Right § 1951 (The Hobbs Act) 500

C. Federal Program Bribery, Theft, and Fraud Under § 666 519

D. The Foreign Corrupt Practices Act 532

Chapter 9. Securities Fraud 557

A. Rationale for Insider Trading Prohibition 558

B. Traditional Theory 563

C. Misappropriation Theory 577

D. Securities Fraud Under 18 U.S.C. § 1348 592

E. Accounting Fraud 593

Chapter 10. Conspiracy 619

A. Practical Consequences of a Conspiracy Charge 620

B. Elements/Principles of Liability 625

C. U.S. Sentencing Guidelines: Conspiracy Exercise 655

Chapter 11. The Racketeer Influences and Corrupt Organizations Act("RICO") 657

A. Elemen ts/Principles of Liability 660

B. Prosecutorial Powers and Policies 705

C. U.S. Sentencing Guidelines: RICO Exercise 711

Chapter 12. Money Laundering 713

A. "Transaction" Offenses Under § 1956(a)(I) and § 1957 717

B. "Transportation" Offenses Under § 1956(a)(2) 732

C. Non-Banking Systems: Challenges for Future? 745

D. Money Laundering: Case Study in Institutional Interaction in Sentencing 749

Chapter 13. Grand Jury 755

A. Grand Jury Function 756

B. Rules Controlling Grand Jury Operation: Fed. R. Crim. P. 6 761

C. Investigative Function 770

D. Judicial Policing and Prosecutorial Misconduct 785

Chapter 14. Discovery 801

A. "Brady" Material 803

B. Pretrial Discovery: Fed. R. Crim. P. 16 828

C. Jencks Act or "3500" Material: Witness Statements 833

D. Witness Lists 835

E. Trial Subpoenas: Fed. R. Crim. P. 17 836

F. Discovery Hypothetical 839

Chapter 15. Fifth Amendment: Testimony and Immunity 843

A. Formal immunity Pursuant to 18 U.S.C. § 6002-05 843

B. Proffers 863

C. Informal Immunity Agreements 875

Chapter 16. Fifth Amendment: Documents and Tangible Objects 887

A. Natural Persons (and Sole Proprietorships) 887

B. What Constitutes "Compulsion". 888

C. The Continuing Viability of the Collective Entity Doctrine After Fisher 900

D. What Constitutes a "Testimonial Communication" 906

E. How "Incriminating" Must the Communication Be 912

F. "Act of Production" Immunity 915

Chapter 17. The Attorney-Client Privilege and the Work Product Doctrine in a Corporate Setting 925

A. Qualifying for Protection 926

B. Losing the Privilege: Waiver 939

C. DOJ's "Compelled-Voluntary" Waiver Policy 960

D. Losing the Privilege: Crime/Fraud Exception 969

E. Privileges of Governmental Actors 977

Chapter 18. Representation Issues 985

A. Ethical Rules 985

B. "Multiple" of "Joint" Representation 988

C. "Joint Defenses" 1003

Chapter 19. Please Bargaining and Cooperation Agreements 1025

A. Plea Bargaining: Constitutional Standards 1026

B. Fed. R. Crim. P. Ⅱ and Guidelines Bargaining 1047

C. Cooperation Agreements 1062

Chapter 20. Parallel Proceedings 1097

A. Constitutionality 1097

B. Fifth Amendment Implications 1102

C. Obtaining a Stay of Civil or Administrative Proceedings 1114

D. Obtaining a Protective Order in Civil or Administrative Proceedings 1116

E. Use of Grand Jury Materials 1122

F. Collateral Estoppel 1126

G. Global Settlements 1128

H. Double Jeopardy and Excessive Fines Provisions 1129

INDEX 1137