News & Analysis as of

Criminal Convictions

2017’s Bad Guys in Energy

by Gray Reed & McGraw on

Once again we look back at the continuing cavalcade of crooks, criminals, miscreants and, to put it kindly, morons the less intellectually gifted, who met justice face-to-face in 2017. This year’s class includes a preacher,...more

Second Circuit Remands for New Trial Based on District Court’s Improper Exclusion of Advice-of-Counsel Testimony

In United States v. Scully, 16-3073-cr (Pooler, Lynch, Cogan[1]), the Second Circuit vacated the defendant’s conviction for various offenses, including mail and wire fraud, conspiracy to defraud the United States, the sale of...more

UK Employer Vicariously Liable for Employee Data Breach

by Katten Muchin Rosenman LLP on

The supermarket chain Morrisons, has been found to be vicariously liable for an employee’s data breach, in a decision which extends the scope of vicarious liability. A senior IT auditor at Morrisons, named Skelton, unlawfully...more

In Rare Ruling Vacating Sentence as Both Procedurally and Substantively Unreasonable, Second Circuit Expounds on the Role of Mercy...

In United States v. Singh, 16-1111-cr (Kearse, Hall, Chin), the Second Circuit vacated the defendant’s 60-month prison sentence—which was nearly three times the top of his Guidelines range—for illegally reentering the United...more

Appellate Court Rules IT Worker Liable Under CFAA for Sabotaging Employer's Network

by Fenwick & West LLP on

The U.S. Court of Appeals for the Fifth Circuit affirmed the Computer Fraud and Abuse Act conviction of an IT worker who sabotaged his employer’s network, rejecting the argument that an IT worker’s authorized access to...more

Jury Finds Pastor, Wife Guilty In Offering Fraud Case

by Dorsey & Whitney LLP on

A staple of SEC Enforcement has been offering fraud actions. The Commission has brought a seemingly endless stream of these actions. While each scheme is different typically the cases center on promises of a safe investment...more

Second Circuit Vacates Conviction of Pharmaceutical Distributor on Advice-of-Counsel Defense

by Farrell Fritz, P.C. on

Last week, in United States v. Scully, the Second Circuit vacated the conviction of a distributor of pharmaceutical products on misbranding charges due to evidentiary issues surrounding his advice-of-counsel defense at trial....more

Of Dead Sea Scrolls and Criminal Impersonation

Golb v. Attorney General, No. 16-0452-pr (Jacobs, Leval, Raggi), arises out of unusual facts—forged emails by a proponent of one side of an academic dispute—and reaches an unusual result. On habeas review, the Second Circuit...more

Dorsey Anti-Corruption Digest - December 2017

by Dorsey & Whitney LLP on

Deputy Attorney General Rod Rosenstein announced the addition of a new Department of Justice (DOJ) Foreign Corrupt Practices Act (FCPA) policy, titled the FCPA Corporate Enforcement Policy. The new policy, which was...more

2018 Labor & Employment Law Update for California Employers

by Allen Matkins on

The New Year will welcome in a number of new California laws affecting employers. Below is a brief summary of many of these laws, which generally take effect on January 1, 2018. Employers should review their policies and...more

Food and Beverage News and Trends

by DLA Piper on

FDA issues draft guidance on the creation of GRAS panels. The FDA has issued draft guidance on the best practices for a manufacturer to follow when convening a panel of experts to evaluate whether a substance is “generally...more

2018 NDAA Analysis: The Limits of the 2018 NDAA’s Report on Procurement Fraud

by Holland & Knight LLP on

This is the fifth blog post in a series of blogs analyzing the current draft of the 2018 National Defense Authorization Act (NDAA) as agreed-to by House and Senate negotiators on November 8, 2017. Stay tuned for additional...more

Jury Convicts Payday Lender Owner for Allegedly Fraudulent Payday Lending Scheme

by Goodwin on

On November 15, 2017, the U.S. Attorney for the Southern District of New York (“?USAO”) announced that a jury has convicted the owner of an alleged fraudulent lending scheme (the “Defendant”) for one count of conspiracy to...more

Federal jury convicts operator of payday lenders sued by CFPB and FTC

by Ballard Spahr LLP on

Richard Moseley Sr., the operator of a group of interrelated payday lenders, was convicted by a federal jury on all criminal counts in an indictment filed by the Department of Justice, including violating the Racketeer...more

Circuit Reverses Conviction & Dismisses Indictment in Case Where Defendant Waited Seven Years for Trial

In United States v. Tigano, No. 15-3073 (Winter, Walker, Pooler), the Second Circuit issued a short order reversing the conviction of Joseph Tigano, III and dismissing the indictment with prejudice.  The Court noted that a...more

Financial Regulatory Developments Focus - November 2017

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

UK Financial Conduct Authority Decision to Ban Ex-Libor Trader Hayes Delayed Pending Criminal Review

by Shearman & Sterling LLP on

The Financial Conduct Authority has announced that it has decided to prohibit former trader Tom Hayes from performing any function relating to any regulated activity in the financial services industry. The FCA stated that Mr....more

Fourth Circuit Affirms Health Care Fraud Convictions for Billing Insurers for Medically Unnecessary Services

by Seyfarth Shaw LLP on

Seyfarth Synopsis: The Fourth Circuit found that the medical necessity of a given service constitutes a material element of representations regarding submissions for payment, potentially providing payors with another legal...more

New York State Enacts Comprehensive Criminal Conviction Sealing Law

by Epstein Becker & Green on

Enacted through the 2017-2018 New York State Budget, and effective October 7, 2017, a new law in New York State makes it possible for individuals convicted of certain criminal offenses to have up to two convictions sealed....more

Court Declines to Revisit Reversal of LIBOR Convictions

The Second Circuit has denied the government’s request for rehearing en banc in United States v. Allen, et al. (16-cr-98). In July, a panel of the Court (Cabranes, Pooler, Lynch) vacated the convictions of Anthony Allen and...more

Precedent Setting Alberta OHS Case: Excavation Company Director Sentenced to Jail

by Bennett Jones LLP on

A precedent setting occupational health and safety (OHS) case was heard in the Alberta Court yesterday. For the first time in Alberta's history, a worker who was also a company director was sentenced to jail for a period of...more

Forex Trader Found Guilty Of Defrauding Client

by Shearman & Sterling LLP on

On October 23, 2017, following a four-week trial in the United States District Court for the Eastern District of New York, Mark Johnson, the former head of a foreign exchange (“forex”) trading desk for a major financial...more

Lessons From the Market Place: The Importance of Compliance

by Dorsey & Whitney LLP on

An effective program is a key corporate function of increasing importance. It can be a competitive advantage, creating a tone of excellence which permeates the firm’s culture, products, services and customer relations....more

New Laws Prohibit Employers from Inquiring into Applicants' Criminal Convictions and Salary Histories

by Allen Matkins on

In anticipation of three new laws, most California employers will have to modify their employment applications and hiring protocols by year-end. Assembly Bill No. 1008 restricts inquiries into criminal conviction histories...more

HSBC Trader Found Guilty in Front Running Scheme

by Dorsey & Whitney LLP on

The former head of global foreign exchange cash trading for HSBC Bank plc was convicted of “front running” in the foreign exchange markets by a jury after a four week trial. A key part of the evidence heard by the jury were...more

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