Understanding White Collar Crime

by Strader, J. Kelly

• ISBN13: 9780820555317
• ISBN10: 0820555312
• Format: Paperback
• Copyright: 2002-06-01
• Publisher: Lexis Nexis

Table of Contents

CHAPTER 1 INTRODUCTION TO WHITE COLLAR CRIME
§ 1.01 Defining "White Collar Crime"	1	(2)
§ 1.02 Enforcement of White Collar Crime Statutes	3	(1)
[A] The Harm Caused by White Collar Crime	3	(1)
[B] Difficulties in Enforcing White Collar Statutes	4	(1)
§ 1.03 Issues of Federalism in White Collar Prosecutions	4	(2)
[A] Federal and State Overlap	4	(1)
[B] Federal Jurisdiction	5	(1)
[C] The Debate Concerning the Federalization of Crimes	6	(1)
§ 1.04 Parallel Civil and Administrative Proceedings	6	(1)
§ 1.05 Issues of Prosecutorial Discretion in White Collar Crime	7	(1)
§ 1.06 Application of General Criminal Law Principles to White Collar Crime	8	(4)
[A] Mens Rea Issues in White Collar Cases	9	(2)
[1] Purpose and Knowledge	10	(1)
[2] Willfulness	10	(1)
[3] Recklessness and Negligence	11	(1)
[4] Strict Liability	11	(1)
[B] Vicarious Liability	11	(1)
[C] Inchoate Crimes	11	(1)
§ 1.07 Application of Criminal Procedure Principles to White Collar Crime	12	(3)
CHAPTER 2 CORPORATE AND INDIVIDUAL LIABILITY
§ 2.01 Introduction	15	(1)
§ 2.02 The Development of Corporate Criminal Liability	15	(2)
§ 2.03 Standards for Imputing Liability to Corporations	17	(3)
[A] Respondeat Superior	17	(1)
[1] Application in Federal System	17	(1)
[2] Elements of Respondeat Superior	17	(1)
[3] Agents Whose Liability May Be Imputed to the Corporation	17	(1)
[4] Liability of Successor and Non-Existent Corporations	18	(1)
[B] Model Penal Code	18	(1)
[C] Comparing Respondeat Superior and Section 2.07	19	(1)
[D] The Debate Over Corporate Criminal Liability	19	(1)
§ 2.04 Issues Arising Under the Model Penal Code	20	(1)
[A] Legislative Intent to Impose Liability	20	(1)
[B] Approval by High Managerial Agent	20	(1)
§ 2.05 Acting on Behalf of the Corporation	21	(3)
[A] Model Penal Code vs. Respondeat Superior	22	(1)
[B] Corporate Compliance Programs and Actions Contrary to Corporate Policy	22	(2)
[C] Actions Not Taken "For the Benefit" of the Corporation	24	(1)
§ 2.06 Corporate Mens Rea	24	(3)
[A] Managerial Approval of Criminal Conduct	24	(1)
[B] Collective Knowledge	25	(2)
§ 2.07 Liability of Corporate Officers and Agents	27	(4)
[A] Scope of Individual Wrongdoers' Liability	27	(1)
[B] Strict Liability of Management for Subordinates' Acts	27	(4)
CHAPTER 3 CONSPIRACY
§ 3.01 Introduction	31	(1)
§ 3.02 Policy Bases	32	(1)
§ 3.03 The Advantages of a Conspiracy Charge	32	(3)
[A] Joinder	32	(1)
[B] Venue	33	(1)
[C] Evidentiary Advantages	33	(1)
[D] Vicarious Liability - The Pinkerton Rule	33	(1)
[E] Multiple Punishments	34	(1)
[F] Statute of Limitations	35	(1)
§ 3.04 The Federal Conspiracy Statutes	35	(3)
[A] Overview	35	(1)
[B] The General Federal Conspiracy Statute	36	(2)
[1] The "Offense" Clause	36	(1)
[2] The "Defraud" Clause	37	(1)
[3] Relationship Between the Offense Clause and the Defraud Clause	38	(1)
§ 3.05 The Elements of Conspiracy	38	(8)
[A] The Agreement	38	(3)
[1] Government Agents as Co-Conspirators	39	(1)
[2] Plurality in the Corporate Context	39	(1)
[3] Wharton's Rule	40	(1)
[B] The Unlawful Object	41	(1)
[C] Required Mental State	41	(3)
[D] The Overt Act	44	(2)
§ 3.06 Proof of Guilt in a Conspiracy Case	46	(2)
[A] Level of Required Proof	46	(1)
[B] Co-Conspirators' Exception to the Hearsay Rule	46	(2)
§ 3.07 Scope of the Conspiracy	48	(5)
[A] Overview	48	(1)
[B] Advantages of a Single Trial	48	(1)
[C] Joinder Principles in a Conspiracy Case	49	(1)
[D] Single Conspiracy vs. Multiple Conspiracies	49	(3)
[1] Joinder Issues	49	(2)
[2] Double Jeopardy Issues	51	(1)
[E] The Showing of Prejudice	52	(1)
§ 3.08 Inconsistent Verdicts	53	(1)
§ 3.09 Withdrawal	54	(3)
CHAPTER 4 MAIL FRAUD, WIRE FRAUD, AND RELATED OFFENSES
§ 4.01 Introduction	57	(2)
[A] The Statutes' Appeal to Prosecutors	57	(1)
[B] The Bases for Expansive Use of the Statutes	57	(1)
[C] Issues of Prosecutorial Discretion	58	(1)
[D] Courts' Interpretations of the Statutes	58	(1)
§ 4.02 Statutory Overview	59	(2)
[A] The Statutes	59	(1)
[B] The Elements	59	(1)
[C] The Inchoate Nature of Mail and Wire Fraud	60	(1)
[D] Jurisdiction	60	(1)
§ 4.03 The Scheme to Defraud	61	(5)
[A] Intent to Defraud	61	(4)
[1] The Durland Decision	61	(1)
[2] Federalism Issues	62	(1)
[3] Deception Relating to the Economic Bargain	63	(1)
[4] Literally True and Misleading Statements	63	(1)
[5] Omissions and Concealment	64	(1)
[6] Good Faith and Reliance on Counsel Defenses	65	(1)
[B] Materiality	65	(1)
[1] The Neder Decision	65	(1)
[2] The "Reasonable Reliance" Issue	65	(1)
§ 4.04 The Use of the Mails and Wires	66	(5)
[A] The "In Furtherance" Requirement	66	(4)
[1] The Schmuck Rule	67	(2)
[2] The "Lulling" Rule	69	(1)
[B] The "Causation" Requirement	70	(1)
§ 4.05 Deprivation of Money, Property, or Honest Services	71	(10)
[A] The "Money or Property" Requirement	72	(3)
[1] The McNally Decision	72	(1)
[2] Intangible Property Rights	72	(2)
[a] Secret Business Information	72	(1)
[b] Licenses and Permits	73	(1)
[c] The Right To Control Property Interests	74	(1)
[3] The Identity of the Deceived Party	74	(1)
[B] Section 1346 and the Deprivation of "Honest Services"	75	(6)
[1] The Effect of Section 1346 on McNally	75	(1)
[2] The Reach of Section 1346	76	(1)
[3] The Definition of "Honest Services"	77	(9)
[a] Prosecutions of Public Officials	77	(2)
[b] Prosecutions of Private Employees	79	(2)
§ 4.06 Related Statutes and Crimes	81	(2)
[A] Bank Fraud	81	(1)
[B] Bankruptcy Fraud	82	(1)
[C] Health Care Fraud	82	(1)
[D] False Government Claims	83	(1)
§ 4.07 Conclusion	83	(2)
CHAPTER 5 SECURITIES FRAUD
§ 5.01 Introduction	85	(1)
§ 5.02 Statutory Overview and Definitions	86	(1)
[A] Introduction	86	(1)
[B] The 1933 and 1934 Acts	86	(1)
[1] The Statutory Scheme	86	(1)
[2] The Definition of "Security"	87	(1)
[3] Secondary Liability	87	(1)
§ 5.03 Civil Enforcement of the Securities Laws	87	(2)
[A] The Statutory Provisions	87	(1)
[B] The Elements	88	(1)
§ 5.04 Criminal Enforcement of the Securities Laws	89	(3)
[A] The Statutory Scheme	89	(1)
[B] The Definition of "Willfulness"	89	(2)
[1] The Statutory Requirement	89	(1)
[2] "Knowledge" vs. "Recklessness"	90	(1)
[3] The "Good Faith" Defense and Reliance on Counsel	91	(1)
[C] The "No Knowledge" Proviso	91	(1)
§ 5.05 The Sarbanes-Oxley Act of 2002	92	(1)
§ 5.06 The Civil/Criminal Overlap	93	(1)
§ 5.07 Insider Trading	93	(11)
[A] Introduction	93	(1)
[B] Policy Bases	94	(1)
[C] Insider Trading Defined	95	(1)
[D] The Evolution of the Misappropriation Theory	96	(5)
[1] The Supreme Court Cases	96	(3)
[2] The Boundaries of Fiduciary Duties	99	(1)
[a] Pre-O'Hagan Case Law	99	(1)
[b] The SEC's Attempt to Extend the Boundaries of Fiduciary Duties - Rule 10b5-2	100	(1)
[3] The "On the Basis of' Requirement	100	(1)
[a] The Circuit Split	100	(1)
[b] SEC Adoption of the "Knowing Possession" Standard - Rule 10b5-1	101	(1)
[E] Tippee Liability	101	(6)
[1] The Dirks Decision	101	(2)
[2] The Elements of Tippee Liability	103	(1)
§ 5.08 Materiality	104	(3)
§ 5.09 Other Offenses	107	(1)
[A] Stock Parking	107	(1)
[B] Proxy Statements	108	(1)
§ 5.10 Professionals' Liability	108	(3)
CHAPTER 6 COMPUTER CRIME
§ 6.01 Introduction	111	(1)
§ 6.02 Challenges to Law Enforcement	111	(1)
§ 6.03 The Computer Fraud and Abuse Act	112	(4)
[A] The Statutory Provisions	112	(4)
[1] Section (a)(1)-Knowing and Willful Theft Involving National Security	112	(1)
[2] Section (a)(2)-Intentional Theft of Protected Information	113	(1)
[3] Section (a)(3)-Intentional Gaining of Access to Government Information	113	(1)
[4] Section (a)(4)-Fraud Through a Protected Computer	114	(1)
[5] Section (a)(5)(A)-Intentionally Causing Damage Through a Computer Transmission	114	(1)
[6] Section (a)(5)(B)-Recklessly Causing Damage Through Unauthorized Access	115	(1)
[7] Section (a)(5)(C)-Causing Damage Through Unauthorized Access	115	(1)
[8] Subsection (a)(6)-Fraudulent Trafficking in Passwords	115	(1)
[9] Subsection (a)(7)-Extortion	116	(1)
[B] The Sentencing Scheme	116	(1)
§ 6.04 Prosecuting Computer Crime	116	(5)
[A] Issues in Cases Brought Under the CFAA	117	(2)
[B] Issues in Wire Fraud Prosecutions of Computer Crime	119	(1)
[C] Other Applicable Statutes	120	(1)
§ 6.05 Constitutional and Statutory Constraints	121	(2)
[A] Search and Seizure Issues	121	(1)
[B] First Amendment Issues	122	(1)
CHAPTER 7 ENVIRONMENTAL CRIMES
§ 7.01 Introduction	123	(2)
§ 7.02 Common Issues in Environmental Prosecutions	125	(2)
[Al Corporate Liability	125	(1)
[B] Individual Liability and the Responsible Corporate Officer Doctrine	125	(1)
[C] Mental State	126	(1)
[D] Overlap of Civil and Criminal Liability	126	(1)
§ 7.03 Hazardous Waste-The Resource Conservation and Recovery Act (RCRA) and Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)	127	(5)
[A] The Statutory Provisions	127	(1)
[B] Knowing Violations	127	(3)
[1] Applicability of the Responsible Corporate Officer Doctrine	127	(1)
[2] Knowledge of Permit Status	128	(2)
[3] Knowledge of Nature of the Waste	130	(1)
[C] Knowing Endangerment	130	(1)
[D] Individual Liability	131	(1)
[E] Corporate Parent Liability	132	(1)
§ 7.04 Water Pollution-The Clean Water Act (CWA) and The Refuse Act	132	(7)
[A] Statutory Scheme	132	(1)
[B] Discharge from a Point Source Under the CWA	133	(2)
[C] Discharge Under the Refuse Act	135	(1)
[D] Required Mental State Under the CWA and the Refuse Act	135	(3)
[1] Mistake of Law Under the CWA	135	(1)
[2] Mistake of Fact Under the CWA	136	(1)
[3] Strict Liability Under the Refuse Act	137	(1)
[E] The CWA Permit Requirement	138	(1)
[F] Knowing Endangerment	138	(1)
§ 7.05 Air Pollution-The Clean Air Act ("CAA")	139	(2)
[A] Overview of the CAA	139	(1)
[B] Definition of "Knowledge"	139	(1)
[C] Judicial Review	140	(1)
[D] Double Jeopardy Issues	140	(1)
§ 7.06 Enforcement Issues	141	(4)
[A] Enforcement Bodies	141	(1)
[B] Parallel Proceedings	142	(1)
[C] Fourth Amendment Issues	142	(3)
CHAPTER 8 BRIBERY AND GRATUITIES
§ 8.01 Introduction	145	(1)
§ 8.02 Section 201 - Statutory Overview	146	(2)
[A] Bribery	146	(1)
[B] Gratuity	146	(1)
[C] Statutory Definitions	147	(1)
§ 8.03 Elements of Bribery and Gratuity Under Section 201	148	(2)
[A] Bribery	148	(1)
[B] Gratuity	148	(1)
[C] Comparison of Bribery and Gratuity	149	(1)
§ 8.04 Definition of "Something of Value" Under Section 201	150	(1)
§ 8.05 Definition of Federal "Public Officials" Under Section 201	151	(2)
[A] Employees of Entities Other than the Federal Government	151	(1)
[B] Participants in the Legislative Process	152	(1)
§ 8.06 Definition of "Official Act" Under Section 201	153	(2)
§ 8.07 Definition of Criminal Intent Under Section 201	155	(2)
[A] Bribery	155	(1)
[B] Gratuities	156	(1)
§ 8.08 Federal Program Bribery	157	(4)
[A] Statutory Overview	157	(1)
[B] Elements of Section 666	158	(1)
[C] Scope of Section 666	158	(3)
CHAPTER 9 EXTORTION
§ 9.01 Introduction	161	(1)
§ 9.02 Statutory Overview	162	(1)
[A] Statutory Background and Definitions	162	(1)
[B] Elements of Extortion	162	(1)
[C] Extortion as an Inchoate Crime	163	(1)
§ 9.03 Effect on Interstate Commerce	163	(1)
§ 9.04 Obtaining Property from Another	164	(1)
§ 9.05 The Required Mens Rea	164	(1)
§ 9.06 Extortion by the Use of Fear	165	(2)
§ 9.07 Extortion Under Color of Official Right	167	(5)
[A] "Inducement" in Extortion Under Color of Official Right	168	(1)
[B] The Distinction Between Bribery and Extortion Under Color of Official Right	169	(1)
[C] Distinguishing "Extortion" from Legitimate Campaign Fundraising	170	(1)
[D] The Quid Pro Quo Requirement	171	(6)
[1] Does the Quid Pro Quo Requirement Apply Outside the Campaign Contribution Context?	171	(1)
[2] Is an Explicit Quid Pro Quo Required, or is an Implicit Quid Pro Quo Sufficient?	171	(1)
§ 9.08 The Travel Act	172	(3)
CHAPTER 10 FALSE STATEMENTS
§ 10.01 Introduction	175	(1)
§ 10.02 Statutory Overview	176	(1)
§ 10.03 The Meaning of "Statement"	177	(1)
[A] The Scope of Section 1001	177	(1)
[B] The "Exculpatory 'No" Doctrine	177	(1)
§ 10.04 Falsity and Concealment	178	(1)
§ 10.05 Materiality	179	(1)
§ 10.06 The Required Mens Rea	179	(2)
[A] Knowledge of Falsity	180	(1)
[B] Knowledge of Facts Giving Rise to Federal Jurisdiction	180	(1)
[C] Intent to Deceive	181	(1)
§ 10.07 Jurisdiction	181	(2)
§ 10.08 Section 1001 and Other Offenses	183	(2)
CHAPTER 11 PERJURY
§ 11.01 Introduction	185	(1)
§ 11.02 The Statutory Provisions	185	(3)
[A] Introduction	185	(1)
[B] Elements of Section 1621	186	(1)
[C] Elements of Section 1623	187	(1)
[D] Key Differences Between Section 1621 and Section 1623	187	(1)
§ 11.03 The Elements of a Perjury Case	188	(6)
[A] Oath	188	(1)
[B] Tribunals and Proceedings	188	(1)
[C] Falsity	189	(2)
[1] Literally True or Non-Responsive Answers	189	(1)
[2] Inconsistent Statements	190	(1)
[D] Intent	191	(1)
[1] Knowledge of Falsity	191	(1)
[2] Willfulness	191	(1)
[E] Materiality	191	(1)
[F] The "Two-Witness" Rule	192	(2)
§ 11.04 The Recantation Defense	194	(3)
[A] A Comparison of Section 1623 and Section 1621	194	(1)
[B] Elements of the Recantation Defense	195	(1)
[C] Must a Defendant Prove All the Elements to Prevail?	196	(1)
§ 11.05 Immunity	197	(1)
§ 11.06 Subornation of Perjury	198	(1)
CHAPTER 12 OBSTRUCTION OF JUSTICE
§ 12.01 Introduction	199	(1)
§ 12.02 A Comparison of Sections 1503, 1505, and 1510	200	(1)
§ 12.03 The Elements of Obstruction of Justice - The Omnibus Clauses	201	(11)
[A] Actus Reus - The "Endeavor"	202	(6)
[1] The Breadth of the "Endeavor" to Obstruct	202	(4)
[a] Interfering with the Production of Documents	202	(1)
[b] Giving or Encouraging False Testimony	203	(1)
[c] Making False Statements to Government Agents	204	(1)
[d] Encouraging a Witness to Assert the Fifth Amendment Privilege	204	(1)
[e] Threatening Jurors or Court Officers	205	(1)
[2] The "Nexus" Requirement	206	(1)
[3] A Deceptive Promise to Commit an Endeavor	207	(1)
[B] The Pending Proceeding	208	(2)
[1] Court Proceedings	208	(1)
[2] Grand Jury Proceedings	209	(1)
[3] Agency and Legislative Proceedings	210	(1)
[C] Mens Rea	210	(3)
[1] The Knowledge Requirement	210	(1)
[2] "Corrupt" Intent	211	(1)
§ 12.04 The Relationship Between Obstruction and Perjury	212	(1)
§ 12.05 Section 1512 - Section 802 of the Sarbanes-Oxley Act	213	(2)
[A] Section 1519 - Destruction of Records in Federal Investigations & Bankruptcy	213	(1)
[B] Section 1520 - Destruction of Audit Records	214	(1)
§ 12.06 Section 1512 - The Witness Tampering Statute	215	(2)
[A] The Statutory Provision	215	(1)
[B] The Relationship Between the Obstruction Statutes and the Witness Tampering Statute	216	(1)
§ 12.07 Conclusion	217	(2)
CHAPTER 13 TAX CRIMES
§ 13.01 Introduction	219	(1)
§ 13.02 Tax Evasion	220	(2)
[A] Statutory Overview	220	(1)
[B] Underpayment	220	(1)
[C] Affirmative Act of Evasion	221	(1)
§ 13.03 False Returns	222	(3)
[A] Statutory Overview	222	(1)
[B] Tax Filer and Preparer Liability	223	(1)
[C] Falsity	224	(1)
[D] Materiality	225	(1)
§ 13.04 Failure to File a Return or Pay Taxes	225	(1)
§ 13.05 Mens Rea - Willfulness	226	(7)
[A] Definition of Willfulness	226	(1)
[B] Proof of Willfulness	227	(1)
[C] Defenses	228	(4)
[1] Good Faith	228	(1)
[2] Legal Uncertainty	229	(3)
[D] Reliance on Professional Advice	232	(1)
§ 13.06 Methods of Proof	233	(1)
[A] Direct or Specific Items Method	233	(1)
[B] Indirect Methods	233	(1)
§ 13.07 The Process of Tax Investigations and Prosecutions	234	(1)
§ 13.08 Charges Brought in Criminal Tax Cases	235	(2)
CHAPTER 14 CURRENCY TRANSACTION REPORTING CRIMES
§ 14.01 Introduction	237	(1)
§ 14.02 Statutory Overview	237	(5)
[A] Introduction	237	(1)
[B] Section 5313(a) - Filing of CTRs by Domestic Financial Institutions	238	(1)
[1] The Statute	238	(1)
[2] The Elements	239	(1)
[C] Section 5324(a) - Structuring and Related Crimes in Connection with Financial Institution Transactions	239	(2)
[1] The Statute	239	(1)
[2] The Elements of Section 5324(a)	240	(1)
[D] Section 6050I - Cash Transactions Reporting by Businesses	241	(1)
[1] The Statute	241	(1)
[2] The Elements	242	(1)
§ 14.03 Mens Rea Issues in Currency Reporting Cases	242	(2)
[A] Knowledge of and Intent to Violate the Law	242	(1)
[B] Collective Knowledge	243	(1)
§ 14.04 Attorney/Client Issues	244	(2)
[A] Introduction	244	(1)
[B] Constitutional Challenges	244	(1)
[C] Attorney-Client Privilege	244	(2)
§ 14.05 Conclusion	246	(1)
CHAPTER 15 MONEY LAUNDERING
§ 15.01 Introduction	247	(1)
§ 15.02 Statutory Overview	248	(7)
[A] Domestic Money Laundering - Section 1956(a)(1)	248	(3)
[1] The Statute	248	(2)
[2] The Elements	250	(1)
[B] International Money Laundering - Section 1956(a)(2)	251	(1)
[1] The Statute	251	(1)
[2] The Elements	251	(1)
[3] Comparison of Section 1956(a)(1) and Section 1956(a)(2)	252	(1)
[C] Prohibited Monetary Transactions - Section 1957	252	(3)
[1] The Statute	252	(1)
[2] The Elements	253	(1)
[3] Comparison of Section 1956(a)(1) and Section 1957	254	(1)
§ 15.03 Proof of the Defendant's Mental State	255	(5)
[A] Section 1956	255	(4)
[1] First Level of Mens Rea - Knowledge that the Transaction Represented Proceeds of Unlawful Activity	255	(1)
[2] Second Level of Mens Rea - Four Possible Theories	256	(3)
[a] Evidence of a Design to Conceal or Disguise Dirty Money Under Section 1956(a)(1)(B)(i)	256	(2)
[b] Evidence of Intent to Promote Unlawful Activity Under Section 1956(a)(1)(A)(i)	258	(1)
[B] Section 1957	259	(1)
[1] The Government's Theory	259	(1)
[2] Proof of Knowledge	260	(1)
§ 15.04 Proof that the Property Was the Product of Criminal Activity	260	(5)
[A] Issues Relating to Timing	260	(2)
[1] Section 1957	260	(1)
[2] Section 1956	261	(1)
[B] Commingling	262	(5)
[1] Cases Under Section 1956	262	(1)
[2] Cases Under Section 1957	262	(3)
CHAPTER 16 RICO
§ 16.01 Introduction	265	(2)
§ 16.02 The Structure of the RICO Statute	267	(1)
[A] Introduction	267	(1)
[B] Elements	267	(1)
§ 16.03 Defining the RICO "Theory"	268	(2)
[A] Subsection 1962(a)	268	(1)
[B] Subsection 1962(b)	268	(1)
[C] Subsection 1962(c)	269	(1)
[D] Subsection 1962(d)	269	(1)
§ 16.04 The Enterprise	270	(12)
[A] Statutory Definition	270	(1)
[B] Legitimate vs. Illegitimate Enterprises	271	(1)
[C] Economic Motive	271	(1)
[D] Formal Entities as Enterprises	272	(1)
[E] The "Association-in-Fact" Enterprise	273	(2)
[1] Interpretations of the Statutory Definition	273	(1)
[2] The Proof Required for an Association-in-Fact Enterprise	273	(2)
[F] Proof of "Enterprise" as Distinct from Proof of "Racketeering Activity"	275	(3)
[1] The Circuit Court Split	275	(1)
[2] The Proof Required to Show a Separate Enterprise "Structure"	276	(2)
[G] Naming the Enterprise as a Defendant	278	(6)
[1] The Enterprise as a Defendant in Cases Brought Under Subsections 1962(a) and (b)	279	(1)
[2] The Enterprise as a Defendant in Cases Brought Under Subsection 1962(c)	279	(2)
[a] Majority Approach	279	(1)
[b] Minority Approach	280	(1)
[c] Sole Proprietorships	281	(1)
[3] Pleading Issues Arising from the Defendant/Enterprise Distinction	281	(1)
§ 16.05 The "Operation or Management" Test Under Section 1962(c)	282	(2)
§ 16.06 The "Racketeering Activity"	284	(9)
[A] Introduction	284	(1)
[B] State Crimes	285	(1)
[C] Federal Crimes	286	(2)
[D] The "Pattern" Requirement	288	(5)
[1] The Supreme Court's Test	288	(2)
[2] Application of the Continuity Requirement	290	(2)
[3] Application of the Relatedness Requirement	292	(1)
[4] Summary of the Pattern Requirement	293	(1)
§ 16.07 Issues Unique to Civil RICO	293	(5)
[A] RICO Actions Brought by Private Plaintiffs	294	(3)
[1] Attempts to Limit Civil RICO: The Sedima Decision	294	(1)
[2] Standing	295	(2)
[B] Civil RICO Actions Brought by the Government	297	(1)
§ 16.08 Interstate Commerce	298	(1)
§ 16.09 Statute of Limitations	298	(1)
§ 16.10 Conclusion	299	(2)
CHAPTER 17 GRAND JURY ISSUES
§ 17.01 Introduction	301	(1)
§ 17.02 Composition and Duration of the Grand Jury	301	(1)
§ 17.03 Purpose of the Grand Jury	302	(1)
§ 17.04 Scope of the Grand Jury's Investigatory Powers	302	(2)
§ 17.05 Presentation of Exculpatory Evidence	304	(1)
§ 17.06 Grand Jury Secrecy	305	(3)
[A] Disclosure of Grand Jury Information to Government Officials	306	(1)
[B] Disclosure to Defendants and to Third Parties	307	(1)
§ 17.07 Conclusion	308	(1)
CHAPTER 18 THE RIGHT AGAINST COMPELLED SELF-INCRIMINATION
§ 18.01 Introduction	309	(1)
§ 18.02 The Fifth Amendment Privilege Against Self-Incrimination	309	(4)
[A] Compelled Testimony	309	(1)
[B] The Compelled Production of Documents	310	(1)
[1] The Required Records Rule	310	(1)
[2] The Collective Entity Rule	310	(1)
[3] The Act of Production Doctrine	311	(1)
[C] Immunity	311	(2)
CHAPTER 19 FEDERAL SENTENCES AND OTHER SANCTIONS
§ 19.01 Introduction	313	(1)
§ 19.02 Sentencing Guidelines - The Policy Debate	313	(1)
§ 19.03 Constitutionality of the Guidelines	314	(1)
§ 19.04 Individual Sentencing Under the Guidelines	315	(7)
[A] Base Level Offense	316	(1)
[B] Specific Offense Characteristics	316	(1)
[C] Adjustments	317	(1)
[D] Multiple Counts	317	(1)
[E] Acceptance of Responsibility	317	(1)
[F] Defendant's Criminal History	318	(1)
[G] Relevant Conduct	319	(1)
[H] Sentencing Range	320	(1)
[I] Fines	320	(1)
[J] Departures	320	(2)
§ 19.05 Organizational Sentencing Under the Guidelines	322	(3)
[A] Adoption	322	(1)
[B] Policy Bases	322	(1)
[C] Coverage	322	(1)
[D] Sanctions	323	(2)
[1] Restitution	323	(1)
[2] Community Service	323	(1)
[3] Fines	323	(2)
§ 19.06 Guilty Pleas and Plea Bargaining Under the Guidelines	325	(2)
§ 19.07 Other Sanctions	325	(1)
§ 19.08 Conclusion	326	(1)
CHAPTER 20 FORFEITURES
§ 20.01 Introduction	327	(1)
§ 20.02 Civil Forfeiture Proceedings	328	(6)
[A] The Primary Federal Statutes Providing for Civil Seizure and Forfeiture	328	(1)
[B] Property Seizure Procedures	329	(2)
[1] Statutory Provisions	329	(1)
[2] The Burden of Proof and Standing	330	(1)
[C] The Scope of Property Subject to Seizure and Forfeiture	331	(1)
[1] The Extent of Forfeiture	331	(1)
[2] The Substantial Connection Test	332	(1)
[D] Third-Party Interests - The "Innocent Owner" Defense	332	(1)
[E] Assistance of Counsel	332	(1)
[F] Post-Judgment Awards of Attorneys' Fees and Fines	333	(1)
[G] The Effect of the Vesting Provision	333	(1)
§ 20.03 Federal Criminal Statutes Providing for the Restraint and Forfeiture of Private Property	334	(4)
[A] Federal Statutes Providing for Criminal Forfeiture	334	(1)
[B] Statutory Procedures for Restraining Property	335	(1)
[C] The Scope of Property Subject to Restraint	335	(1)
[1] Tainted Property	335	(1)
[2] Substitute Assets	336	(1)
[D] Rights of Innocent Third Parties	336	(1)
[E] The Effect of the Vesting Provision	337	(1)
§ 20.04 Constitutional Defenses	338	(7)
[A] Procedural Due Process	338	(2)
[1] Civil Forfeitures	338	(1)
[2] Criminal Forfeitures	339	(1)
[B] Substantive Due Process	340	(1)
[1] Innocent Owners	340	(1)
[C] The Eighth Amendment's Excessive Fines Clause	340	(2)
[1] Criminal Forfeitures	340	(2)
[2] Civil Forfeiture	342	(1)
[D] Double Jeopardy	342	(2)
[E] Attorney's Fees	344	(1)
§ 20.05 Conclusion	345
Table of Cases	TC-1
Index	I-1