White Collar Crime in a Nutshell

Preface
Table of Cases
Part 1 General Principles
	Chapter 1 Scope of White Collar Crime
		§ 1.01 Introduction
		§ 1.02 Scope of Federal Criminal Law
		§ 1.03 State and/or Federal Prosecution
		§ 1.04 Federal Influence in International Prosecutions
		§ 1.05 Application of General Principles of Criminal Law
		§ 1.06 Defenses
	Chapter 2 Corporate Criminal Liability
		§ 2.01 Overview of Corporate Criminal Liability
		§ 2.02 Standards of Imputing Corporate Criminal Liability
		§ 2.03 Collective Knowledge
		§ 2.04 Charging Corporations
		§ 2.05 Dead Corporations
		§ 2.06 Non-Corporate Entity Liability
		§ 2.07 Overview of Personal Liability of Corporate Agents
		§ 2.08 Responsible Corporate Officer
Part 2 Specific Offenses
	Chapter 3 Conspiracy
		§ 3.01 Introduction
		§ 3.02 Agreement
		§ 3.03 Plurality
		§ 3.04 Unlawful Object of Conspiracy
		§ 3.05 Knowledge and Intent
		§ 3.06 Overt Act
		§ 3.07 Single or Multiple Conspiracies
		§ 3.08 Pinkerton Rule
		§ 3.09 Antitrust Conspiracies
	Chapter 4 Mail, Wire, Bank, and Health Care Fraud
		§ 4.01 Introduction
		§ 4.02 Scheme to Defraud
		§ 4.03 Intent
		§ 4.04 Materiality
		§ 4.05 Intangible Rights
		§ 4.06 Intangible Property
		§ 4.07 Use of the Mails “In Furtherance”
		§ 4.08 Limitations to “In Furtherance”
		§ 4.09 The “In Furtherance” Test
		§ 4.10 Wire Fraud
		§ 4.11 Bank Fraud
		§ 4.12 Health Care Fraud
		§ 4.13 Mail Fraud and Other Crimes
	Chapter 5 Securities Fraud
		§ 5.01 Introduction
		§ 5.02 Mens Rea
		§ 5.03 Materiality
		§ 5.04 Insider Trading
		§ 5.05 Development of the Misappropriation Theory
	Chapter 6 Obstruction of Justice
		§ 6.01 Introduction
		§ 6.02 Overview of Section 1503
		§ 6.03 Corruptly or by Threats or Force— Section 1503
		§ 6.04 Endeavors—Section 1503
		§ 6.05 To Influence, Obstruct or Impede the Due Administration of Justice— Section 1503
		§ 6.06 Nexus
		§ 6.07 Section 1503 as It Relates to Other Obstruction Statutes
	Chapter 7 Bribery and Extortion
		§ 7.01 Introduction
		§ 7.02 Overview of Bribery
		§ 7.03 Bribery—Things of Value
		§ 7.04 Bribery—Public Official
		§ 7.05 Bribery—Corruptly to Influence Official Acts
		§ 7.06 International Bribery
		§ 7.07 Overview of Hobbs Act
		§ 7.08 Hobbs Act—Interstate Commerce
		§ 7.09 Hobbs Act—Robbery or Extortion
		§ 7.10 Hobbs Act—“Under Color of Official Right”
		§ 7.11 Travel Act
	Chapter 8 Racketeer Influenced and Corrupt Organizations (RICO)
		§ 8.01 Introduction
		§ 8.02 Enterprise
		§ 8.03 Interstate Commerce
		§ 8.04 Pattern of Racketeering Activity
		§ 8.05 Nexus Between Pattern of Racketeering and Enterprise
		§ 8.06 RICO Conspiracy
		§ 8.07 Forfeiture
		§ 8.08 Civil RICO
	Chapter 9 False Statements
		§ 9.01 Introduction
		§ 9.02 Statements
		§ 9.03 Falsity
		§ 9.04 Knowledge and Intent
		§ 9.05 Materiality
		§ 9.06 Matters Within the Jurisdiction of the Executive, Legislative, or Judicial Branch
		§ 9.07 False Claims
		§ 9.08 Other Crimes
	Chapter 10 Perjury and False Declarations
		§ 10.01 Introduction
		§ 10.02 Oath
		§ 10.03 Within Tribunals and Proceedings
		§ 10.04 Falsity
		§ 10.05 Materiality
		§ 10.06 Knowledge and Willfulness
		§ 10.07 Two Witness Rule
		§ 10.08 Recantation
	Chapter 11 Tax Crimes
		§ 11.01 Introduction
		§ 11.02 Willfulness
		§ 11.03 Tax Evasion
		§ 11.04 Methods of Proof
		§ 11.05 Failure to File a Return or Pay a Tax
		§ 11.06 False Returns
		§ 11.07 Tax Obstruction
	Chapter 12 Currency Reporting Crimes and Money Laundering
		§ 12.01 Introduction
		§ 12.02 Bank Secrecy Act
		§ 12.03 Domestic Financial Institutions
		§ 12.04 Recordkeeping and Reporting Requirements
		§ 12.05 Knowledge and Willfulness
		§ 12.06 Section 6050I
		§ 12.07 Money Laundering
	Chapter 13 Bankruptcy Crimes
		§ 13.01 Introduction
		§ 13.02 Bankruptcy Fraud
		§ 13.03 Concealment and False Oath
		§ 13.04 Knowingly and Fraudulently
		§ 13.05 Ponzi Schemes and Clawbacks
	Chapter 14 Environmental Crimes
		§ 14.01 Introduction
		§ 14.02 Mens Rea
		§ 14.03 Refuse Act
		§ 14.04 Water Pollution Control Act
		§ 14.05 Resource Conservation and Recovery Act (RCRA)
	Chapter 15 Computer Crimes
		§ 15.01 Overview
		§ 15.02 Section 1030
		§ 15.03 Prosecuting Computer Crimes
		§ 15.04 Economic Espionage Act
Part 3 Procedural and Evidentiary Issues
	Chapter 16 Grand Jury Investigations
		§ 16.01 Investigative Advantages
		§ 16.02 Rule 17 Subpoenas
		§ 16.03 The Fourth Amendment’s Overbreadth Prohibition
		§ 16.04 Applying the Overbreadth Prohibition
		§ 16.05 Other Fourth Amendment Objections
		§ 16.06 Rule 17(c) Objections
		§ 16.07 “Chilling Effect” Objections
		§ 16.08 Subpoena Misuse Objections
		§ 16.09 Challenging Secrecy Violations
		§ 16.10 Statutorily Protected Third-Party Records
		§ 16.11 Target Standing
		§ 16.12 Challenges Alleging Prosecutorial Misconduct
		§ 16.13 Assistance of Counsel
	Chapter 17 Administrative Agency Investigations
		§ 17.01 Administrative Subpoenas
		§ 17.02 Fourth Amendment Overbreadth
		§ 17.03 The Powell Prerequisites
		§ 17.04 Legitimate Purpose Challenges
		§ 17.05 Third-Party Subpoenas
		§ 17.06 Criminal Referrals and Continuing Investigations
		§ 17.07 Staff Misconduct
		§ 17.08 The Role of Counsel
	Chapter 18 Parallel Proceedings
		§ 18.01 Introduction
		§ 18.02 Discovery from Parallel Proceedings
		§ 18.03 Delaying the Parallel Civil or Administrative Proceeding
		§ 18.04 Asserting the Self-Incrimination Privilege
		§ 18.05 Grand Jury Matter
		§ 18.06 The “Preliminary to” Requirement
		§ 18.07 Particularized Need
		§ 18.08 Collateral Estoppel
	Chapter 19 The Self-Incrimination Privilege: Testimony
		§ 19.01 Applicability of the Privilege
		§ 19.02 Potential for Incrimination
		§ 19.03 Incrimination Under the Laws of Another Sovereign
		§ 19.04 Compelling the Grand Jury Target to Appear
		§ 19.05 Invocation of the Privilege
		§ 19.06 Advice as to Right
		§ 19.07 Separate Proceedings
		§ 19.08 Scope of the Testimonial Forfeiture
		§ 19.09 Penalties and Burdens
		§ 19.10 Immunity: Constitutional Grounding
		§ 19.11 The Constitutionally Required Scope of the Immunity
		§ 19.12 The Federal Immunity Provisions: 18 U.S.C. §§ 6000–6005
		§ 19.13 Garrity Immunity
		§ 19.14 Prosecuting the Immunized Witness
		§ 19.15 Immunity Agreements
	Chapter 20 The Self-Incrimination Privilege: Documents
		§ 20.01 Boyd v. United States and “Content Protection”
		§ 20.02 The Act-of-Production Doctrine
		§ 20.03 The Foregone Conclusion Standard
		§ 20.04 Potential Incrimination
		§ 20.05 Act of Production Immunity
		§ 20.06 Requiring Non-Testimonial Writings
		§ 20.07 Third Party Production
		§ 20.08 Required Records
		§ 20.09 The Collective Entity Exception
		§ 20.10 The Entity Agent
	Chapter 21 Searches
		§ 21.01 Searches vs. Subpoenas: Advantages and Disadvantages
		§ 21.02 Fourth Amendment Requirements
		§ 21.03 Probable Cause
		§ 21.04 Particularity of Description
		§ 21.05 The Leon Exception
		§ 21.06 Execution of the Warrant
		§ 21.07 Law Office Searches
	Chapter 22 Attorney-Client Privilege
		§ 22.01 Grounding and Policy
		§ 22.02 Basic Elements
		§ 22.03 Derivative Protections
		§ 22.04 The Communication Limitation
		§ 22.05 Communications of Corporate Clients
		§ 22.06 The Legal Advice Limitation
		§ 22.07 The Confidentiality Limitation
		§ 22.08 Forms of Waiver
		§ 22.09 Waiver by Intentional Disclosure
		§ 22.10 Waiver by Inadvertent Disclosure
		§ 22.11 Waiver by Affirmative Reliance
		§ 22.12 Crime-Fraud Exception
		§ 22.13 The Fiduciary Exception
		§ 22.14 The Government Attorney Exception
		§ 22.15 Joint Defense Agreements
	Chapter 23 Work Product Protection
		§ 23.01 Character and Purpose
		§ 23.02 Basic Elements: Hickman and Rule 26(b)(3)
		§ 23.03 Anticipation of Litigation
		§ 23.04 Waiver
		§ 23.05 Crime-Fraud
Part 4 Punishment
	Chapter 24 Sanctions
		§ 24.01 Introduction
		§ 24.02 Federal Sentencing Commission
		§ 24.03 Federal Sentencing Guidelines
		§ 24.04 Constitutionality of the Guidelines
		§ 24.05 Role of the Guidelines
		§ 24.06 Criminal and Civil Fines and Restitution
		§ 24.07 Sentencing Guidelines for Organizations
		§ 24.08 Corporate Resolutions
		§ 24.09 Licenses and Program Exclusion
Index