White Collar Crime Report: Index-Summary

IDENTITY THEFT

– Aggravated theft, defendant must know false information belonged to real person (U.S., rvs), 326
– Bank tellers paid for sharing customer data, 18 charged in scheme to make counterfeit checks (N.Y. Sup. Ct.), 381
– Credit cards

See CREDIT CARDS

– Default judgments, defendant who obtained fraudulent rulings against innocent victims violated state criminal impersonation law (Neb.), 219
– Double Jeopardy Clause bars prosecution for identity theft and aggravated identity theft based on same acts (11th Cir.), 639
– E-mail of manager, public employee who used account to spread defamatory claims not shielded by First Amendment from prosecution (Wis.), 493
– Foreign bank account holders, defendant pleads guilty to money laundering scheme (M.D. Fla.), 176
– Home equity lines of credit obtained using stolen account data, defendant sentenced (E.D. Va.), 670
– Medicare fraud, physician assistant convicted of stealing doctor's provider number (C.D. Cal.), 486
– Misuse of data belonging to “another,” fictional person's information not covered by criminal ban (Haw.), 361
– “Number-of-victims” sentencing enhancement, reimbursed account holders are “victims” under guidelines (1st Cir.), 491
– Phishing scheme to collect personal data from bank customers, U.S. and Egyptian conspirators indicted (C.D. Cal.), 735
– Scienter not established despite substantial evidence that defendant knew of actual victim, conviction reversed (2d Cir.), 362
– Social Security, Veterans' Affairs worker sentenced for stealing numbers from workplace computer (Cal. Super. Ct.), 70
– Tax fraud

See TAX FRAUD

ILLINOIS

– Public corruption, Gov. Blagojevich (D) soliciting bribes for Obama Senate seat

See BRIBERY

IMMIGRATION

See ALIENS AND CITIZENSHIP

IMMUNITY

– Proffer session statement, prosecution may not use in case-in-chief to show contradictory statement despite exception in immunity pact (8th Cir.), 290

INDIANA

– Ponzi scheme, pastor and sons charged with faith-based affinity fraud (Ind. Cir. Ct.), 478

INSIDER TRADING

– British Financial Services Authority secures first criminal convictions, 263
– Congressional members and staff, ban on using information obtained in Congress

See LEGISLATION, FEDERAL, HR 682

– Day traders and alleged co-conspirators indicted (S.D.N.Y.), 7; Lehman Brothers broker pleads guilty, 9; second broker pleads guilty, 355
– Enforcement trends, SEC and DOJ panelists discuss, 335
– Enron broadband unit executives

See ENRON

– Ernst & Young partner/attorney convicted (S.D.N.Y.), 353
– Hedge funds

– – Galleon manager and other executives face criminal and civil charges (S.D.N.Y.), 736
– – Pequot fund, SEC reopens investigation, 79

– International Securities Exchange board member sentenced for misusing information obtained during merger discussions (S.D.N.Y.), 13
– Investment banker indicted for tipping brother about confidential corporate transactions (N.D. Cal.), 312
– Law enforcement reports, information not readily available to public may be basis for conviction (2d Cir.), 15
– Qwest, CEO Nacchio's conviction upheld, expert economic testimony properly excluded by trial judge (10th Cir.), 127; predictive information, materiality analysis challenged (U.S., rev sought), 221; request to be free on bond denied (rev den), 291; “gain” under sentencing guidelines is based on profits linked to misuse of information (10th Cir.), 558; DOJ will not appeal ruling, 604; review of conviction (U.S., rev den), 714
– SEC lawyers may have traded on data learned from work, inspector general report issued, 363; agency announces steps to strengthen internal compliance program, 394
– UBS stock analysis scheme, securities trader sentenced (S.D.N.Y.), 180

INSURANCE

– American Intl. Group. Inc. (AIG)

– – Accounting fraud, falsely inflating insurer's reported loss reserves, executive sentenced (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
– – Bonus recipients, list turned over to N.Y. attorney general, 222

– Auto accident victims, fraudulent claims

– – Chiropractic clinic owner pleads guilty (S.D. Fla.), 320; sentencing, 523; 2 chiropractors sentenced, 596
– – Medical billing firm owner pleads guilty (D.N.J.), 486

– Health care

See HEALTH CARE

– Medicaid

See MEDICAID

– Medicare

See MEDICARE

– Securities fraud defendants not entitled to advancement of attorneys' fees from liability insurers (S.D.N.Y.), 172
– Surety bonds for construction projects, defendant sentenced for selling false bonds (M.D. Fla.), 451
– Viatical fraud, life insurance policies

– – Mail fraud statute applies to scheme aimed at deceiving unsophisticated investors (11th Cir.), 89
– – Mutual Benefits executive sentenced for tax evasion (S.D. Fla.), 14

– Workers' compensation, asbestos removal contractor sentenced for fraudulently concealing number of workers to avoid paying premiums (N.D.N.Y.), 555

INTELLECTUAL PROPERTY

– Copyrights, counterfeit software sales

– – Indictment issued (D. Ariz.), 129; defendant pleads guilty, 176
– – Sentence imposed on defendants for criminal infringement (W.D. Tex.), 14

– Patents, generic competition for Plavix blood-thinning drug, Bristol-Myers Squibb executive pleads guilty to false statements (D.D.C.), 247
– Trade secrets, Goldman Sachs programmer charged with stealing computer code (S.D.N.Y.), 477
– Trademarks

See TRADEMARKS

INTERNATIONAL DEVELOPMENTS

– Corporate internal investigations in foreign countries, ABA conferees discuss, 755
– Defense contract awards, bribery

See DEFENSE CONTRACTS

– Environment, recycling firm linked to illegal dumping in China, warehouse searched by government agents, 77
– Foreign Corrupt Practices Act

See FOREIGN CORRUPT PRACTICES ACT (FCPA)

– Identity theft, phishing scheme used to obtain personal data of U.S. bank customers, U.S. and Egyptian conspirators indicted (C.D. Cal.), 735
– Insider trading, British Financial Services Authority secures first criminal convictions, 263
– Italy, video posted on Google Video portal allegedly violated defamation and privacy laws, executives face trial, 109; Italy has jurisdiction, 222
– Laptop computers, border searches of

– – Limits on searches

See LEGISLATION, FEDERAL, HR 239

– – New directives for conducting searches issued by DHS, 642
– – Privacy protections should be included, DHS advisory committee says, 152

– Money laundering defendant pleads guilty to scheme involving foreign bank accounts (M.D. Fla.), 176
– Oil-for-Food program, kickbacks to Iraqi officials

– – AGCO to pay $20 million to settle charges (D.D.C.), 715
– – Canadian citizen indicted (D.D.C.), 544
– – Danish drug firm enters deferred prosecution pact, 356
– – Fiat enters deferred prosecution agreement (D.D.C.), 11

– Security services subcontract to protect U.S. personnel in Afghanistan, kickback scheme, guilty plea entered (E.D. Va.), 633
– Tax evasion

– – Enforcement action threatened against taxpayers who fail to disclose foreign accounts, DOJ official says, 45; IRS official says voluntary disclosure of offshore assets increasing, 295; DOJ officials warn of crackdown as IRS voluntary disclosure program deadline nears, 718; Special Report, 722; 7,500 taxpayers have filed, IRS says, 749
– – Information sharing among enforcement authorities, Swiss government to adopt OECD standards, 223
– – Merchants using offshore accounts, IRS John Doe summons issued to payment card processing firm (D. Colo.), 294
– – Tax shelter schemes, attorney and accountant indicted for filing false tax returns for clients (D. Ariz.), 662
– – UBS

– – – Accountant charged in first prosecution from bank's pact to disclose clients (S.D. Fla.), 240; accountant pleads guilty, 446
– – – Birkenfeld, former UBS banker sentenced (S.D. Fla.), 593; whistleblower award sought for role in uncovering UBS scheme, 752
– – – Concealment of identities and assets of U.S. taxpayers, deferred prosecution agreement reached (S.D. Fla.), 134
– – – Conn. attorney general seeks names of U.S. account holders that will be released to IRS, 646
– – – Former UBS manager and Swiss attorney indicted (S.D. Fla.), 583
– – – Guilty pleas based on information provided by UBS, yacht broker pleads guilty (S.D. Fla.), 284; toy executive pleads guilty, 519; Cal. businessman to plead guilty (C.D. Cal.), 589; Boeing sales manager pleads guilty (W.D. Wash.), 701; N.J. businessman pleads guilty (D.N.J.), 703
– – – Head of Wealth Mgmt. Americas unit fired, 263
– – – Indicted executive declared fugitive from justice (S.D. Fla.), 31
– – – IRS John Doe summons for records, bank has fully complied, executive says, 185; judge asks DOJ if summons represents position of new administration (S.D. Fla.), 366; DOJ disputes newspaper report that efforts to make bank reveal U.S. clients will be dropped, 465; Swiss government to prevent UBS from disclosing client identities, 498; DOJ announces settlement with UBS (S.D. Fla.), 563; final agreement reached for release of 4,450 names, 602; court orders notice to account holders that data will be given to IRS, 714

– – Unilateral action to combat evasion may be needed, Senate aide says, 338
– – Unnamed foreign banks, IRS officials say agency preparing to seek John Doe summonses against, 337

INTERNATIONAL TRADE

– Ammunition made by China, Defense Fed. Acquisition Reg. Supp. bars defense contractor sale of (S.D. Fla.), 245
– Counterfeiting, conviction for distribution of fake currency printed overseas does not qualify for enhanced sentence (7th Cir.), 72
– Drugs for cancer, physician convicted of smuggling misbranded and unapproved medicines (C.D. Cal.), 357
– Furniture firm from China pleads guilty to smuggling baby cribs made of internationally protected wood (D.N.J.), 321
– Honey mislabeled to avoid import fees, 2 Chinese nationals charged with conspiracy (W.D. Wash.), 351
– Money laundering

– – Lloyds TSB Bank to pay fine for covering up illegal transactions by Iranian and Sudanese clients (D.D.C.), 42
– – Telemarketing scheme, Brazilian national convicted of laundering proceeds (S.D. Fla.), 175

– Online gambling, European Commission says U.S. ban violates World Trade Org. rules, 427
– 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
– – Marine hoses, subsidiaries of Swedish firm plead guilty (E.D. Va.), (S.D. Fla.), 315

– Produce company and owner plead guilty to smuggling pesticide-tainted peas (S.D. Fla.), 35
– Securities

– – Accounting fraud by Indian company, PricewaterhouseCoopers under investigation for possible role, 112
– – Ponzi scheme operated by Bernard Madoff, U.K. Serious Fraud Office to investigate, 43

– U.S. Export-Import Bank

– – Bribery, bank employee pleads not guilty (D.D.C.), 173
– – Loan fraud, business owner sentenced (C.D. Cal.), 99

INTERNET

– Ed. Note: For electronic sales of goods and services, see ELECTRONIC COMMERCE. Electronic mail is covered under E-MAIL.
– Crime information database misused for personal gain, probationary sentence not too lenient (11th Cir.), 713
– Cybercrime

See CYBERCRIME

– E-Rate program, school superintendent charged with fraud (W.D. Mich.), 382
– Electronic filing, federal courts' systems nearly all operational, Special Report, 81
– Federal agencies, Rockefeller (D-WVa) seeks details on cybersecurity steps taken after attack on websites, 503
– Juror access to new information technologies, effect of extrajudicial data, Special Report, 264
– Securities, 2 indicted for defrauding investors of firm providing software to protect children's access to internet (N.D. Cal.), 516
– Social networking sites

– – Harassment of teenager on MySpace.com, conviction for unauthorized access to computer likely to be dismissed (C.D. Cal.), 495; motion for acquittal granted, 631
– – Worker usage outside of workplace, employer monitoring raises legal issues, 498

– Spam

See SPAM

– Video posted on Google Video portal allegedly violated Italian defamation and privacy laws, executives face trial, 109; Italy has jurisdiction, 222
– Webcasts of federal court proceedings, bill to allow

See LEGISLATION, FEDERAL, S 657

INVESTIGATIONS

– Accounting fraud by Indian company, PricewaterhouseCoopers under probe for possible role, 112
– Campaign finance

– – DOJ may investigate violations without prior referral from Federal Election Comm'n (9th Cir.), 562
– – New Mexico Gov. Richardson (D) likely will not be charged for alleged pay-to-play scheme, 626

– Debt settlement firms, N.Y. governor launches probe into practices of, 366
– Financial crisis, bill to create commission to probe causes of

See LEGISLATION, FEDERAL, S 386

– Golf trip led by lobbyist Abramoff, responses by Feeney (R-Fla) to House ethics probe are protected by Speech or Debate Clause (D.C. Cir.), 475; DOJ will not appeal decision, 564
– Internal probes

– – Attorney-client privilege, Upjohn warnings in interviews with employees, Analysis and Perspective, 368
– – Discovery rights of indicted employee trump efforts by firm to preserve confidentiality of probe results (D.C. Cir.), 309
– – Employee misconduct probes, privacy issues, Analysis and Perspective, 397
– – Foreign company investigations discussed by ABA conferees, 755
– – Law firm separately representing firm and executives unethically disclosed to government executive's statements from probe (C.D. Cal.), 277; case discussed at ABA conference, 428; decision reversed (9th Cir.), 695
– – N.Y. attorney ethics rules, effect of revisions on corporate counsel, 364
– – Obstruction of justice, in-house counsel, Analysis and Perspective, 191
– – Work product, documents from probe not protected since litigation concerns not primary motive behind creation of papers (N.D. Tex.), 500

– Johnson & Johnson, federal subpoenas received in antitrust and physician payment probes, 363
– Medicaid billing fraud probes

– – Home health care, South Fla. to be target of federal and state investigations, 189
– – Witness tampering, doctor pleads not guilty to intimidating patient and employees (S.D. Ill.), 517

– Merger of Bank of America and Merrill Lynch

See MERGERS AND ACQUISITIONS

– Mortgage fraud

– – Colonial BancGroup division is subject of federal investigation, 606
– – Connecticut, federal task force established, 606

– Obama Senate seat, Jackson (D-Ill) denies misconduct in probe over alleged attempt to purchase from Ill. Governor Blagojevich (D), 291; Burris (D-Ill) defends phone call with Blagojevich's brother about fundraising for governor, 393; prosecutor says Burris' statements to state legislature not perjury, 464
– Obstruction of justice

See OBSTRUCTION OF JUSTICE

– Securities

– – Coupon fraud scheme, criminal defendant's due process rights not violated by parallel SEC civil investigation (E.D. Wis.), 664
– – Insider trading, Pequot hedge fund, SEC reopens probe, 79
– – Ponzi scheme operated by Bernard Madoff, U.K. Serious Fraud Office to probe, 43

– TARP

See generally TROUBLED ASSET RELIEF PROGRAM (TARP)

– Taxes

– – BDO Seidman accountant, motion to quash IRS tax shelter summonses denied (E.D. Mich.), 280
– – Evidence need not be suppressed for IRS examiners' violation of agency rule banning parallel civil and criminal investigations (6th Cir.), 141
– – Merchants using offshore accounts to evade taxes, IRS summons issued to payment card processing firm (D. Colo.), 294
– – UBS executive says bank has fully complied with IRS summons for names of holders of secret accounts, 185; judge asks DOJ if summons represents position of new administration (S.D. Fla.), 366; DOJ disputes newspaper report that efforts to make bank reveal clients will be dropped, 465; Swiss government to prevent UBS from disclosing client identities, 498; DOJ announces settlement with UBS (S.D. Fla.), 563; final agreement reached for release of 4,450 names, 602; Conn. attorney general seeks names of U.S. account holders that will be released to IRS, 646; court orders notice to account holders that data will be given to IRS, 714
– – Unnamed foreign banks, IRS officials say agency preparing to seek John Doe summonses against institutions used to evade taxes, 337

– Wiretap usage in corporate fraud probes, Analysis and Perspective, 266