Convictions

News & Analysis as of

Feds Renew Focus on Worker Safety and Individual Accountability

Massey Energy CEO Donald Blankenship reported to a California prison on May 12 to begin serving a one-year sentence for willfully violating mine safety standards. His conviction was related to the deadliest United States...more

FCA Obtains Two Criminal Convictions in High-Profile Insider Dealing Trial

The jury in the so-called ‘Tabernula’ (“Little Tavern”) case has on Monday delivered its verdict after a 12-week trial. Two of the five defendants have been convicted, whilst the other three have been acquitted of all...more

Second Circuit: Intent to Harm Is Not Required for Criminal Conviction Under Investment Advisers Act

On May 4, 2016, the U.S. Court of Appeals for the Second Circuit affirmed the fraud conviction of a registered investment adviser and held that proof of intent to harm is not an element of a criminal conviction under section...more

New Pennsylvania Bill Makes Spousal Abuse Victims’ Divorce Process Easier

Recently, Governor Wolf signed a bill into law giving spousal abuse victims in Pennsylvania additional rights when pursuing a divorce. This law will become effective in the middle of June 2016. It has been said that, “this...more

Amendments to the Integrity Regime – A Step in the Right Direction

On April 4, 2016, Public Services and Procurement Canada (PSPC) (formerly known as Public Works and Government Services Canada) made a number of important amendments to the Integrity Regime governing procurement and real...more

The Supreme Court - April 2016 #2

The Supreme Court of the United States issued one decision on April 18, 2016: - Welch v. United States, No. 15-6418: Last term, the Supreme Court, in Johnson v. United States, 576 U.S. __ (2015), held that the residual...more

What To Do When One of Your Employees Is Arrested

It’s a question more employers find themselves asking: “What should I do if one of my employees gets arrested?” Originally published in The HR Specialist - March 2016 issue....more

UK Libor Fraud Supreme Court Appeal Application Blocked

London's Court of Appeal refused leave for Tom Hayes’ application to the UK Supreme Court to appeal his conviction. Mr. Hayes was convicted of eight charges of conspiracy to defraud and initially sentenced to 14 years in...more

Financial Conduct Authority Bans Peter Charles Bottomley from UK Financial Services Industry

The Financial Conduct Authority published a final notice that it had banned Peter Charles Bottomley from the UK financial services industry. Mr. Bottomley was convicted on July 9, 2015 of eight counts of dishonesty and...more

Supreme Court Update: Lockhart V. United States (14-8358), Gobeille V. Liberty Mutual Insurance Co. (14-181)

Who could have imagined a month ago that our summary of Justice Scalia's dissent in Montgomery v. Alabama (14-280) would be our last opportunity to analyze an opinion from the Justice who, alongside Jackson and Holmes, will...more

Sweett Sentence Provides Guidance for DPAs

After its guilty plea to an offence under the UK Bribery Act, Sweett Group PLC was sentenced on February 19, 2016 at Southwark Crown Court, and ordered to pay a total £2.25 million penalty for the offence. The international...more

“Ban the Box” Bill Would Also Protect Felons From Discrimination

As the General Assembly session heats up, several legislators are calling for passage of the so-called “Ban the Box” legislation. Versions of this have been floated for years, but one legislator called this year’s bill...more

Sweett Group Convicted for Failing to Prevent Bribery

The Serious Fraud Office announced that Sweett Group Plc had been convicted and sentenced for failing to prevent bribery by an associated person under section 7 of the Bribery Act 2010. It is the first conviction of the...more

Death of visitor leads to employer’s conviction, $100,000 fine under OHSA

This case is a reminder that injuries to non-employees can lead to Occupational Health and Safety Act convictions and fines against employers. A visitor to a self-storage facility in North Bay fell through an open hole...more

Ontario Court Sentences Project Manager to 3.5 Years in Jail for Fatal Workplace Accident

In a first for the province of Ontario, on January 11, 2016, a construction project manager charged and convicted under the Bill C-45 amendments to the Criminal Code was sentenced to serve time in prison for criminal...more

Printing Company Fined £2.2 Million in United Kingdom for Africa Bribes

On January 8, the United Kingdom’s Serious Fraud Office announced that a printing company specializing in official documents such as election ballots was ordered to pay penalties totaling £2.2 million following its 2014...more

3 1/2 years in prison for Metron project manager, Kazenelson, after criminal negligence conviction

Vadim Kazenelson, the project manager for Metron Construction, was sentenced today to 3½ years in prison for criminal negligence. This is the longest-ever jail sentence handed down for criminal negligence under the...more

U.S. Department of Justice Suspends Asset Forfeiture Sharing Program

Christmas came early to state, local and tribal law enforcement agencies in the United States; and it came in the form of a lump of coal. On December 21, 2015, Kendall Day, Chief of the U.S. Justice Department’s Asset...more

Can I Print a Retraction: A Cautionary Tale of the Lingering Pitfalls of Memoranda and Email Correspondence

On December 3, 2015, a jury empaneled in the United States District Court for the Southern District of West Virginia convicted Donald L. Blankenship of conspiracy to violate federal safety standards, and although he will...more

Second Circuit Reverses Conviction in Bond Market Misrepresentation Case, but Endorses Government Theory of Materiality

On December 8, 2015, the United States Court of Appeals for the Second Circuit reversed the conviction of Jesse C. Litvak, a securities broker and trader at Jefferies & Company. Litvak had been convicted of various counts of...more

Second Circuit Overturns Fraud Convictions in United States v. Litvak

The Second Circuit found no proof of material misrepresentations as to some charges, and held that expert testimony was improperly excluded as to others. On December 8, the US Court of Appeals for the Second Circuit...more

The Meaning of “Malfeasance in Office” and the Lifetime Ban to Holding Office it Carries

The California Attorney General concluded in a recent opinion that the City of Commerce has the right to sue a sitting city councilmember convicted of a crime to test if he has the right to hold office. The Attorney General...more

Prosecutors win rare murder conviction of M.D. in prescription drug deaths

The Centers for Disease Control and Prevention offers but one voice among many that has declared that the United States is in the midst of a prescription drug abuse epidemic. As the CDC notes: “Since 1999, the amount of...more

If Considered Material, False Statements Made to Federal Regulatory Bodies Create Exposure to Criminal Liability - United States...

The U.S. Court of Appeals for the Tenth Circuit reversed a conviction for making a false statement to the U.S. Patent and Trademark Office (USPTO), holding that a false statement is not material if it could not influence the...more

FCA bans Macro Fund head following convictions

FCA has issued its final notice against Magnus Peterson following his convictions in January 2015 for fraud, forgery, false accounting and fraudulent trading. Mr Peterson is the former head of the now-collapsed hedge fund...more

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