White Collar Crime Report: Index-Summary

ACCOUNTING FRAUD

– Adelphia defendants' sentences upheld even though district court should have conducted de novo resentencing (2d Cir.), 746
– Bernard Madoff's brokerage firm, CPA charged with failure to audit properly (S.D.N.Y.), 203; not guilty plea, 517
– Enron broadband unit CFO pleads guilty to falsifying books and records (S.D. Tex.), 379
– Health care finance company executives sentenced for deceiving investors (S.D. Ohio), 249
– Indian company's inflated profits, PricewaterhouseCoopers under investigation for possible role, 112
– Insurance executive sentenced for falsely inflating AIG's reported loss reserves (D. Conn.), 67; General Re executive sentenced, 179; General Re CFO sentenced, 250; General Re vice president and counsel sentenced, 322; CEO of General Re subsidiary sentenced, 451; General Re senior vice president sentenced, 669
– Jewelry retailer CEO sentenced for lying about firm's financial performance (E.D.N.Y.), 324; sentencing, 553
– Stockman, former OMB director, will not be prosecuted for overstating income of failing auto parts firm (S.D.N.Y.), 32
– Tax shelters, usage to avoid taxes

See TAX SHELTERS

– United Rentals executive pleads guilty to conspiring to falsify financial results (D. Conn.), 740

ACQUISITIONS

See MERGERS AND ACQUISITIONS

ADVERTISING

– Drugs

See DRUGS

– Internet auction fraud, “mass-marketing” sentencing enhancement applies due to large number of potential victims (7th Cir.), 457
– Spam

See SPAM

– Tax reduction schemes

– – Sham trusts promoted, defendants indicted for scheme claiming buyers may avoid taxes (M.D. Fla.), 350
– – Tax preparation firm executive sentenced for marketing fraudulent scheme to consumers (D. Kan.), 745

– Telemarketing fraud

– – Brazilian national convicted of laundering proceeds (S.D. Fla.), 175
– – Sweepstakes scam, owner and employees of call center sentenced (W.D.N.C.), 389; 6 more defendants sentenced, 707

AIDS AND HIV

– Diluted drug doses fraudulently billed to insurers, doctor pleads guilty (C.D. Cal.), 178
– Distribution of drug to wholesalers using falsified documents, attorney sentenced (D.N.H.), 389
– Infusion therapy clinics, Medicare billing fraud

– – Clinic employee purporting to be physician's assistant convicted (S.D. Fla.), 591
– – Doctor and nurse sentenced (S.D. Fla.), 13
– – Kickbacks and manipulated patient blood samples, 3 clinic operators plead not guilty (S.D. Fla.), 280
– – Operator and controller of clinics charged in 5-state scheme (S.D. Fla.), 351; six more defendants indicted, 444
– – Owner of clinic pleads guilty (S.D. Fla.), 34; co-owners and worker plead guilty, 64; wholesale drug company owner pleads guilty, 97; doctors and medical assistants convicted, 212; sentencing, 556
– – Physicians indicted for tainted blood sample scheme (S.D. Fla.), 132; doctors and clinic workers plead guilty, 213; physician and workers sentenced, 416; doctor sentenced, 452
– – Services not performed, clinic owner sentenced (S.D. Fla.), 252
– – Treatments not rendered

– – – Jury convicts clinic owners (S.D. Fla.), 703
– – – Three defendants plead guilty (S.D. Fla.), 549

– Medicaid fraud, pharmacy owner sentenced for billing for drugs that were not dispensed (N.J. Super. Ct.), 454

AIR POLLUTION

See ENVIRONMENT

AIR TRANSPORTATION

– Price fixing by air freight companies, 3 airlines plead guilty (D.D.C.), 65; 3 more airlines plead guilty, 283; Dutch airline executive pleads guilty, 317; Asiana Airlines sentenced after guilty plea, 359

ALABAMA

– Honest services mail fraud, governor's convictions for scheme involving hospital regulatory board reversed (11th Cir.), 255

ALASKA

– Bribery, state oil tax legislation

– – Chief of staff to former Gov. Murkowski (R), sentencing delayed (D. Alaska), 567
– – Cowdery (R) pleads guilty (D. Alaska), 10; sentencing, 210
– – Former lawmakers released from prison, cases remanded for review given possible Brady violations (9th Cir.), 422; defendants await results of DOJ review on withheld evidence, 463; Kott (R) entitled to court-appointed lawyer (D. Alaska), 528; DOJ granted extension of time to provide new evidence to defendants, 567; parties to review new evidence, judge to determine if new hearings required, 643
– – Masek (R) pleads guilty (D. Alaska), 210
– – Veco Corp. executives to be sentenced (D. Alaska), 528

– Governor Palin (R), legal fund established to cover costs of defending ethics disputes is illegal, 529
– Honest services fraud, legislator to seek Supreme Court review of ruling that misconduct need not violate state law in order to sustain federal conviction (D. Alaska), 111; (U.S., rev grant), 461
– Medicaid billing fraud, nursing service owner sentenced (Alaska Super. Ct.), 596
– Stevens (R-Alaska) conviction, prosecutors removed from case for contempt of court (D.D.C.), 147; status hearing set, 185; case dismissed, independent probe of prosecutors' conduct ordered, 237; Attorney General Holder replaces head of DOJ ethics unit, 294; chief of DOJ integrity unit removed from Abramoff-related prosecution against House aide, 423

ALIENS AND CITIZENSHIP

– False identification, Tenn. enacts ban on usage to obtain employment, 367
– Hiring of illegal aliens

– – Defense contracting firm and owner sentenced (D. Mass.), 100
– – Doughnut company sentenced (S.D. Tex.), 556
– – E-Verify system, DHS to implement rule mandating use by federal contractors, 501
– – IFCO Systems managers indicted (N.D.N.Y.), 61
– – Prosecution of employers, DHS issues guidelines, 333
– – Sanctions on employers, Tex. attorney general says lawmakers may enact legislation, 189
– – Social Security numbers, no-match rule, DHS given time extension to review before filing responsive pleadings in suit challenging rule (N.D. Cal.), 466; rule to be rescinded, 501; DHS issues proposed rule to rescind, 605; no-match rule rescinded, 752

– Human trafficking, conviction upheld despite expert witness usurping function of jury (8th Cir.), 328
– Identity theft, knowledge that alien registration number belonged to actual person required for conviction (U.S., rvs), 326
– Passport applications, State Dep't worker pleads guilty to accessing private files (D.D.C.), 66

ANALYSIS AND PERSPECTIVE

– Corporate compliance efforts as defense to liability, 339
– Electronic discovery, 116
– Environmental enforcement, 2008 developments, 228
– Foreign Corrupt Practices Act, compliance lessons from Siemens case, 155
– Honest services fraud, 761
– Internal probes

– – Employee misconduct probes, privacy issues, 397
– – Obstruction of justice, in-house counsel, 191
– – Upjohn warnings to employee interviewees, outside counsel, 368

– Medical device makers, avoiding criminal liability, 684
– Plea bargains, risks of jury trial outweigh effects of guilty pleas, 533
– RICO, impact of Supreme Court decision expanding scope of law, 504
– Restitution of costs related to investigation and prosecution of crime, 47
– Sentencing Guidelines, factors in wake of financial crisis, 298
– Voluntary disclosure of corporate misconduct, Part 1, 611; Part 2, 648
– Wiretap usage in corporate fraud probes, 266

ANTITRUST

– Bid rigging

– – Marine fender and buoy maker, CEO charged with colluding to allocate customers (E.D. Va.), 382; guilty plea, 485
– – Tax lien auctions, 2 businessmen indicted for conspiracy (D. Md.), 411

– Blood reagents industry, Johnson & Johnson receives subpoena in federal probe, 363
– Government contracts, DOJ launches program to protect stimulus projects funds, 367
– Price fixing

– – Air freight companies, 3 airlines plead guilty (D.D.C.), 65; 3 more airlines plead guilty, 283; Dutch airline executive pleads guilty, 317; Asiana Airlines sentenced after guilty plea, 359
– – Cathode ray tubes, CEO indicted (N.D. Cal.), 131
– – Color display tubes, executive indicted (N.D. Cal.), 583
– – Cooperating party, bill to extend limitations on damage liability

See LEGISLATION, FEDERAL, HR 2675

– – Liquid crystal display panels, 3 executives indicted (N.D. Cal.), 92; 4 executives plead guilty, 94; Hitachi Displays pleads guilty, 171; executive indicted, 242; LG Display Co. executive sentenced after guilty plea, 448; Epson to pay fine after pleading guilty, 590
– – Marine hoses, subsidiaries of Swedish firm plead guilty (E.D. Va.), (S.D. Fla.), 315
– – Military restraints, supply firm owner pleads guilty (E.D.N.Y.), 358
– – Packaged ice company and executives plead guilty to customer allocation conspiracy (S.D. Ohio), 740
– – Shipping firm executive sentenced (M.D. Fla.), 98

APPEALS

– Attorney-client privilege, immediate appeal of ruling that privilege was waived (U.S., oral arg), 724
– Federal procedural rules, amendment on time-computation methods approved by Supreme Court, 295
– Sentencing

– – Madoff will not appeal punishment for Ponzi scheme, defense lawyer says (S.D.N.Y.), 497
– – Waiver of appeal in plea agreement is presumed valid (D.C. Cir.), 330

– Stock option backdating, Broadcom Corp. co-founder denied interlocutory appeal of judge's rejection of plea agreement (9th Cir.), 710
– Withdrawal of appeal, government may condition sentence reduction motion on defendant's agreement to drop appeal (7th Cir.), 218

ARIZONA

– Campaign finance, evidence used to indict Renzi (R-Ariz) may violate Speech or Debate Clause (D. Ariz.), 172
– Health care fraud, physician and assistant charged with prescribing illegal narcotics and false insurance billings (Ariz. Super. Ct.), 515

ARMED SERVICES

– Defense contracts

See DEFENSE CONTRACTS

– Embezzlement, West Point Military Academy worker indicted (D.D.C.), 61
– Identity theft, Veterans' Affairs worker sentenced for copying Social Security numbers from workplace computer (Cal. Super. Ct.), 70
– Pharmacy for veterans, federal employee and staffing agency plead guilty to conspiring to defraud Veterans' Affairs and Small Bus. Admin. (N.D. Ill.), 212

ASBESTOS

– Mining operations of W.R. Grace, knowing endangerment of town residents, criminal trial to begin (D. Mont.), 62; opening statements presented, 149; government expert's opinion testimony limited, 259; charges dismissed against 2 executives, 316; firm and 3 executives acquitted, 354; charges dismissed against last defendant, 414
– Removal

– – Demolition and salvage company co-owner pleads guilty to work practice standard violations (E.D. Tenn.), 704
– – San Diego Gas & Electric retrial for violating work practice standards, prosecution evidence inadmissible (S.D. Cal.), 629; charges dismissed, 741
– – Workers' compensation, removal contractor sentenced for fraudulently concealing number of workers to avoid paying premiums (N.D.N.Y.), 555

ATTORNEY-CLIENT PRIVILEGE

– Appeal, interlocutory, of ruling that privilege was waived (U.S., oral arg), 724
– Corporations still feel pressure from DOJ to waive, lawyers tell ABA conferees, 754
– Employee's e-mails from work computer to personal counsel, privilege applies (N.J. Super. Ct. App. Div.), 492
– Internal investigations

– – Discovery rights of indicted employee trump efforts by firm to preserve confidentiality of probe results (D.C. Cir.), 309
– – Stock option backdating, outside counsel separately representing Broadcom Corp. and executives improperly disclosed to government executive's statements from internal probe (C.D. Cal.), 277; case discussed at ABA conference, 428; decision reversed (9th Cir.), 695
– – Upjohn warnings in interviews with employees, outside counsel, Analysis and Perspective, 368

– Merger of Bank of America and Merrill Lynch under investigation

– – House committee request for voluntary waiver of privilege, bank lawyers urge reconsideration, 678; Bank of America to provide documents, 718; documents released, 751
– – N.Y. attorney general says advice-of-counsel defense waives privilege, 646

– Work product doctrine

– – Internal probes, documents not protected since litigation concerns not primary motive behind creation of papers (N.D. Tex.), 500
– – Textron tax accrual papers shielded from IRS (1st Cir.), 71; ruling vacated, en banc hearing set, 261; papers not shielded (en banc), 599

ATTORNEY ETHICS

– ABA commission to review rules in light of globalization and technological changes, 573
– Alaska Gov. Palin (R), legal fund established to cover costs of defending ethics disputes is illegal, 529
– Confidentiality duty, mining of metadata in electronic documents

– – N.H. opinion, 365
– – Vt. opinion, 720

– Conflicts of interest

– – Corporate counsel separately representing firm and executives improperly disclosed to government executive's statements from internal probe (C.D. Cal.), 277; case discussed at ABA conference, 428; decision reversed (9th Cir.), 695
– – Joint defense agreements, D.C. opinion, 750

– Internal investigations by in-house counsel

– – N.Y. ethics rules, effect of revisions, 364
– – Obstruction of justice, Analysis and Perspective, 191

– Revocation of law license of investment banker who pleaded guilty to “pay to play” scheme (Wis.), 679

ATTORNEYS

– Appointed counsel

– – Alaska, legislator convicted of bribery involving oil tax policy entitled to court-appointed counsel (D. Alaska), 528
– – Excessive workloads of public defenders, ABA guidance, 573
– – Substitute forfeiture matter, defendant lacks right to appointed counsel (1st Cir.), 329

– Client privilege

See ATTORNEY-CLIENT PRIVILEGE

– E-mails seeking debt collection aid, lawyers warned of scams, 337
– Embezzlement, lawyer pleads guilty to losing client trust funds by day trading in stock market (C.D. Cal.), 739
– Ethics

See ATTORNEY ETHICS

– Fees

See ATTORNEYS' FEES

– First Am. shields lawyer from prosecution for legal advice given in good faith (N.Y. App. Div.), 102
– Government contractors' evasion of prevailing wage laws, lawyer pleads guilty to aiding (E.D.N.Y.), 246
– HIV drug distributed to wholesalers using falsified documents, lawyer sentenced (D.N.H.), 389
– Ineffective assistance of counsel, nursing facility owner convicted of Medicare fraud raised cognizable claim (N.D. Cal.), 262
– Money laundering of funds for client, lawyer pleads not guilty (N.D. Cal.), 31
– Prosecutors

See PROSECUTORS

– Securities fraud

– – Attorneys' fees

See ATTORNEYS' FEES

– – Fake promissory notes, lawyer pleads not guilty to sale of (S.D.N.Y.), 206; guilty plea, 352; sentencing, 488; lawyer disbarred, 751
– – Hedge funds, fugitive attorney pleads guilty (S.D. Fla.), 665
– – Insider trading

– – – Ernst & Young partner/attorney convicted (S.D.N.Y.), 353
– – – SEC lawyers may have traded on data learned from work, inspector general report issued, 363; agency announces steps to strengthen internal compliance program, 394

– – Pump-and-dump scheme, Dallas lawyer indicted for stock-registration violations (E.D. Va.), 203; Phoenix lawyer pleads guilty to conspiracy, 208
– – Refco outside counsel convicted for hiding ailing financial health of company (S.D.N.Y.), 518

– Tax evasion, usage of tax shelters

– – False tax returns filed for offshore shelter clients, lawyer indicted (D. Ariz.), 662
– – Investment management services firm, lawyers and CEO indicted (W.D. Wash.), 411
– – Sham trusts, lawyer sentenced (N.D. Ill.), 215

ATTORNEYS' FEES

– Corporation not required to pay criminal defense costs already incurred by director (10th Cir.), 101
– Mandatory Victims Restitution Act

– – Costs related to investigation and prosecution of crime, Analysis and Perspective, 47
– – “Other expenses” reimbursable to victim may include legal fees (6th Cir.), 638

– Securities fraud

– – HealthSouth Corp. CEO Scrushy, entry of bar order denying indemnification of attorneys' fees upheld (11th Cir.), 427
– – Refco executives not entitled to advancement of defense costs from liability insurers (S.D.N.Y.), 172

AUTOMOBILES

See MOTOR VEHICLES

AVIATION

See AIR TRANSPORTATION