Source: https://llrx.com/2002/08/features-fighting-corporate-and-government-wrongdoing-a-research-guide-to-international-and-u-s-federal-laws-on-white-collar/?share=reddit
Timestamp: 2019-04-20 21:25:41
Document Index: 110622777

Matched Legal Cases: ['§ 78', '§ 78', '§ 78', '§ 2152', '§ 1952', '§ 1', '§ 151', '§ 215', '§ 5311', '§ 201', '§ 1951', '§ 1001', '§ 3401', '§ 45', '§ 1341', '§ 1501', '§ 1506', '§ 1621', '§ 1961', '§ 77', '§ 7201']

Features – Fighting Corporate and Government Wrongdoing: A Research Guide to International and U.S. Federal Laws on White-Collar – LLRX
C. Selected Policy Publications
D. Selected Recent Journal Articles
1. Selected Journal Articles Regarding International Anti-Corruption Efforts
2. Selected Journal Articles Regarding U.S. White-Collar Criminal Law
The term “white-collar crime” refers to the corrupt business practices of individuals in powerful positions, especially corporate leaders and government officials. Edwin Sutherland first coined the phrase during the 1939 annual meeting of the American Sociological Society.2 He argued that corporate and governmental officials regularly commit crimes that are as destructive to society as those of violent blue-collar criminals. This same concept is the root of federal white-collar crimes, as well as international anti-corruption initiatives.
Criminal Law Convention on Corruption (ETS No. 173, also available at http://conventions.coe.int/Treaty/EN/CadreListeTraites.htm) (Adopted by the Council of Europe).
The Convention calls for European states to create a common criminal policy against corruption. In that effort the convention created the Group of States Against Corruption (GRECO), which coordinates efforts to fight corruption.
Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (37 I.L.M. 1, also available at http://www.oecd.org/oecd/pages/home/displaygeneral/0,3380,EN-document-86-3-no-3-7198-0,00.html) (Adopted by the Organization for Economic Co-Operation and Development). The U.S. signed the convention and adopted implementing national legislation, the International Anti-Bribery and Fair Competition Act of 1998. 15 U.S.C. § 78dd.
The convention requires that nations create criminal laws against bribery in transnational business transactions.
Convention on the Fight Against Corruption (Council Act No. 97/C 195/01, 1997 O.J. 195, 2-11 also available through EURO-Lex, http://tinyurl.com/12mu, or from the EURO-Lex index http://www.europa.eu.int/eur-lex/en/index.html) (Adopted by the European Union).
The convention creates provisions to improve judicial cooperation between the 15 EU member states in the fight against corruption.
For more information about this convention see the “Explanatory Report on the Convention on the Fight Against Corruption Involving Officials of the European Communities or Officials of Member States of the European Union,” Council Report 98/C 391/01, 1998 O.J. C 391, 1, also available at http://europa.eu.int/eur-lex/pri/en/oj/dat/1998/c_391/c_39119981215en00010012.pdf.
Inter-American Convention Against Corruption (35 I.L.M. 724,also available at http://www.oas.org/juridico/english/FightCur.html) (Adopted by the Organization of American States). The U.S. ratified the convention. 146 Cong. Rec. S7809 (2000) [also available in pdf format].
The treaty is designed to promote mechanisms that will stop corruption in each country that is a party to the agreement.
ICC Rules of Conduct: Extortion and Bribery in International Business Transactions (rev. ed. 1999), reprinted in Int’l Chamber of Commerce, Fighting Bribery: A Corporate Practice Manual 97- 107 (ICC ed., 1999) (also available at http://www.iccwbo.org/home/statements_rules/rules/1999/briberydoc99.asp) (Adopted by the International Chamber of Commerce).
The International Chamber of Commerce proposes norms of business conduct that would help eliminate extortion, bribery and other acts of corporate corruption. The ICC also recommended national laws that will curb political and corporate corruption.
United Nations Convention Against Transnational Organized Crime, Doc. A/55/383, New York Nov. 15, 2000 (not yet in force) (temporarily available at http://untreaty.un.org/English/notpubl/18-12E.htm) The United States signed the convention on December 13, 2000 but has not ratified the convention.
The treaty will create provisions against money laundering, corruption, obstruction of justice, and other organized crimes.
Measures Against Corrupt Practices of Transnational and Other Corporations, Their Intermediaries and Others Involved, G.A. Res. 3514, U.N. GAOR, 30th Sess., Supp. No. 34, at 69, U.N. Doc. A/10034 (1976) (Resolution of the United Nations).
The United Nations requests that all member states work to end transnational acts of bribery.
Declaration Against Corruption and Bribery in International Commercial Transactions, G.A. Res. 51/191, U.N. GAOR, 51st Sess., Annex, Agenda Item 12, para. 2, U.N. Doc. A/RES/51/191 (1997) (also available at http://www.un.org/documents/ga/res/51/a51r191.htm) (Declaration of the United Nations).
The Declaration proclaims that member states should take actions to end corruption in international commercial transactions. The provisions of the declarations specifically address bribery and related illicit practices.
Action Against Corruption and Bribery in International Commercial Transactions, G.A. Res. 53/176, U.N. GAOR, 53d Sess., 91st plen. mtg, para. 4, U.N. Doc. A/RES/53/176 para. 4 (1999) (also available at http://www.un.org/documents/ga/res/53/a53r176.pdf) (Resolution of the United Nations).
The General Assembly recognizes the ongoing international efforts to fight corruption and requests that the United Nations and its organs work to end worldwide corruption.
Foreign Corrupt Practices Act (FCPA) (15 U.S.C. § 78m(b)(2), 78m(b)(3), 78dd-1, 78dd-2, 78ff)
International Anti-Bribery and Fair Competition Act (15 U.S.C. § 78dd)
This act implements the provisions of the OECD Convention on Combating Bribery of Foreign Officials in International Business Transactions. The act creates criminal penalties for American corporations that bribe foreign public officials in an effort to gain business advantages outside of the U.S.
International Anticorruption and Good Governance Act of 2000 (22 U.S.C. § 2152c)
The act creates systems for the United States to promote good government and help other countries fight corruption. The act requires the U. S. State Department to annually report on anti-corruption activities.
Organized Crime – Travelers Act (18 U.S.C. § 1952)
The Travelers Act was one of the first statutes created to fight organized crime. It is a crime to use the mail or any other facility of interstate or foreign commerce with intent to promote, direct or manage an illegal business.
New — The Sarbanes-Oxley Act of 2002 (Public Law 107-204)
Additionally, the act establishes the Public Company Accounting Oversight Board. The Board shall establish fair procedures to investigate and discipline public accounting firms and accountants.
Antitrust Conspiracies (15 U.S.C. § 1 et seq.)
Under U.S. antitrust law it is a crime to monopolize trade, otherwise restrain trade, or to conspire to restrain trade.
Bankruptcy Crimes (18 U.S.C. § 151 et seq.)
Bankruptcy statutes include criminal penalties for fraud and other misconduct. It is a crime to fraudulently conceal assets from the bankruptcy custodian, to make a false oath or account as part of the bankruptcy, or to influence or intimidate the officers in the bankruptcy proceedings. It is also illegal for the custodian to embezzle assets, or purchase assets of the estate.
Banking Crimes (18 U.S.C. §§ 215, 656 & 657, 1005 & 1006, 1014, 1344)
Bank Secrecy Act (31 U.S.C. § 5311 et seq.)
In order to better control white-collar and other types of organized crime, this act requires that financial institutions report large cash financial transactions. It is a crime to willfully fail to report the transaction or to attempt to cause an institution to not report a transaction.
Bribery (18 U.S.C. § 201 et seq.)
Bribery involves offering, promising, or giving something of value corruptly to a federal public official in order to influence an official.
Extortion – The Hobbs Act (18 U.S.C. § 1951)
The Hobbs Act was the first statute to define extortion: obtaining the property of another with his/her consent, “induced by wrongful use of actual or threatening force, violence or fear, or under color of official right.”
False Statements Accountability Act of 1996 (18 U.S.C. § 1001)
It is a crime to make knowing false statements in matters related to the United States government.
Financial Privacy Act (12 U.S.C. § 3401 et seq.)
With some exceptions, financial institutions may be criminally liable for revealing a customer’s personal finances.
Federal Trade Commission Act (15 U.S.C. § 45)
It is a crime to make false statements while selling goods or otherwise engaging in commercial trade.
Mail or Wire Fraud (18 U.S.C. § 1341 et seq.)
It is a crime to use mail or wire services as part of a “scheme to defraud.” The law includes the use of private carriers as well as government mail and wire services.
Obstruction of Justice (18 U.S.C. § 1501 et seq.)
The obstruction of justice statutes covers the obstruction of court proceedings, enforcement of court orders and the obstruction of investigation. It includes criminal penalties for the destruction, theft or alteration of certain records and proceedings (18 U.S.C. § 1506).
Perjury and False Declarations (18 U.S.C. § 1621 – 1623)
It is a crime to knowingly and while under oath make false material statements to a government officer or during a proceeding before a court, tribunal, or grand jury.
Racketeer Influenced and Corrupt Organizations Act (RICO) (18 U.S.C. § 1961 et seq.)
RICO is a broad act focused on organized crime and other enterprises that create a pattern of racketeering.
Securities Fraud (15 U.S.C. § 77a et seq.)
The securities statutes create criminal penalties for corrupt actions such as:
willful violation of securities laws or regulations,
making untrue statements or omissions regarding material facts related to securities,
making false or misleading statements on any document or report required by securities law to be filed.
The U.S. Securities and Exchange Commission typically refers criminal matters to the Department of Justice for prosecution.
Tax Crimes (26 U.S.C. § 7201 et seq.)
Tax crime statutes are common tools to control organized crime. The different crimes include evading taxes, failing to file a tax return, aiding another file a false tax return, and delivering a fraudulent tax return.
United State Agency for International Development (USAID) <http://www.usaid.gov/>
The FBI website maintains information about crime and crime prevention. In the “Library and Reference” section there are reports about white-collar crime, including the FBI report: Cynthia Barnett, “The Measurement of White-Collar Crime Using Uniform Crime Reporting (UCR) Data <http://www.fbi.gov/ucr/whitecollarforweb.pdf>.
This publication is a four-volume loose-leaf set that includes a detailed discussion of several white-collar criminal statutes. The publication has a CD-ROM with sample forms.
Bailey, F Lee & Rothblatt, Henry B., Defending Business & White-Collar Crime
(1984 loose-leaf with 2000 Supp.).
This publication is a two-volume practical loose-leaf set that contains strategic and substantive information relevant to handling white-collar crime litigation. It contains an index to the most significant federal acts.
Podgor, Ellen S. & Israel, Jerold H., White-Collar Crime In A Nutshell (2d. ed. 1997).
This publication contains a basic and thorough discussion of white-collar crime.
Sherman, Mark, White-Collar Crime (2001).
This is a publication of the Federal Judicial Center.
The original monograph which proposed creating the category of white-collar crime. This text studied the criminal behavior of major U.S. corporations.
Clinard, Marshall B. & Yeager, Peter C., Corporate Crime (1980).
Coleman, James William, The Criminal Elite: The Sociology of White Collar Crime (5th ed. 2002).
Geis, Gilbert, On White-Collar Crime (1982).
Abbott, Kenneth W., “Rule-Making in the WTO: Lessons from the Case of Bribery and Corruption,” 41 Journal of International Economic Law 275 (2001).
Brown, H. Lowell, “Extraterritorial Jurisdiction Under the 1998 Amendments to the Foreign Corrupt Practices Act: Does The Government’s Reach Now Exceed Its Grasp?” 26 North Carolina Journal of International Law & Comparative Regulation 239 (2001).
Boswell, Nancy Zucker, “The Law, Expectation, and Reality in the Marketplace: The Problems of and Responses to Corruption,” 31 Law and Policy in International Business 139 (2000).
Bushell, Simon, “UK’s Anti-Corruption Law – Filling in the Gaps,” 28 International Business Lawyer 435 (2000).
Dunfee, Thomas W. & Hess, David, “Getting from Salbu to the ‘Tipping Point’: The Role of Corporate Action with a Portfolio of Anti-Corruption Strategies (Response to Article by Steven R. Salbu in this Issue, p. 435),” 21 Northwestern Journal of International Law & Business 471 (2001).
Fendo, Julie, “Attacking the Tools of Corruption: The Foreign Money Laundering Deterrence and Anticorruption Act of 1999 (International Law Enforcement, Extradition, and Mutual Legal Assistance in the 21st Century),” 23 Fordham International Law Journal 1540 (2000).
George, Barbara Crutchfield, et al., “The 1998 OECD Convention: An Impetus for Worldwide Changes in Attitudes Toward Corruption in Business Transactions,” 37 American Business Law Journal 485 (2000).
George, Barbara Crutchfield & Lacey, Kathleen A., “A Coalition of Industrialized Nations, Developing Nations, Multilateral Development Banks, and Nongovernmental Organizations: A Pivotal Complement to Current Anti-Corruption Initiatives,” 33 Cornell International Law Journal 547 (2000).
Goldbarg, Andrea, “The Foreign Corrupt Practices Act and Structural Corruption,” 18 Boston University International Law Journal 273 (2000).
Grossman, Claudio, et al., “The Experts Roundtable: A Hemispheric Approach to Combating Corruption,” 15 American University International Law Review 759 (2000).
Guymon, CarrieLyn Donigan, “International Legal Mechanisms for Combating Transnational Organized Crime: The Need for a Multilateral Convention,” 18 Berkeley Journal of International Law 53 (2000).
Hess, David & Dunfee, Thomas W., “Fighting Corruption: A Principled Approach,” 33 Cornell International Law Journal 593 (2000).
Henning, Peter J., “Public corruption: A Comparative Analysis of International Corruption Conventions and United States Law,” 18 Arizona Journal of International & Comparative Law 793 (2001).
Kofele-Kale, Ndiva, “The Right to a Corruption-Free Society as an Individual and Collective Human Right: Elevating Official Corruption to a Crime Under International Law,” 34 International Lawyer 149 (2000).
Li, Kelly, “Recommendations for The Curbing Of Corruption, Cronyism, Nepotism, and Fraud in The European Commission,” 24 Boston College International & Comparative Law Review 161 (2000).
Nichols, Philip M., “The Myth of Anti-Bribery Laws as Transnational Intrusion,” 33 Cornell International Law Journal 627 (2000).
Posadas, Alejandro, “Combating Corruption Under International Law,” 10 Duke Journal of Comparative & International Law 345 (2000).
Salbu, Steven R., “A Delicate Balance: Legislation, Institutional Change, and Transnational Bribery,” 33 Cornell International Law Journal 657 (2000).
Salbu, Steven R., “Information Technology in the War Against International Bribery and Corruption: The Next Frontier of Institutional Reform,” 38 Harvard Journal on Legislation 67 (2001).
Shaw, Bill, “The Foreign Corrupt Practices Act and Progeny: Morally Unassailable,” 33 Cornell International Law Journal 689 (2000).
Unzicker, Andrea D. Bontrager, “From Corruption to Cooperation: Globalization Brings A Multilateral Agreement Against Foreign Bribery,” 7 Indiana Journal of Global Legal Studies 655 (2000).
Windsor, Duane; Getz, Kathleen A., “Multilateral Cooperation to Combat Corruption: Normative Regimes Despite Mixed Motives and Diverse Values,” 33 Cornell International Law Journal 731 (2000).
Zagaris, Bruce & Lakhani, Sheila, “The Emergence of an International Enforcement Regime on Transnational Corruption in the Americas,” 31 Law and Policy in International Business 53 (1999-2000).
Annual Survey of White-Collar Crime, American Criminal Law Review (the journal published the most recent survey in the Summer 2001 issue).
Adams, Teresa E., “Tacking on Money Laundering Charges to White-Collar Crimes: What Did Congress Intend, and What are the Courts Doing?” 17 Georgia State University Law Review 531 (2000).
Bay, Darlene, “Ethical and Legal Implications of White Collar Crime: What Students Need to Know,” 18 Journal of Legal Studies Education 257 (2000).
Bennett, J. Bradley, “White-Collar Crime, Blue Collar Tactics: A Defense Lawyer’s Perspective (White-Collar Crime Symposium),” 28 Western State University Law Review 65 (2000).
Benson, Michael L., “Investigating Corporate Crime: Local Responses to Fraud and Environmental Offenses (White-Collar Crime Symposium),” 28 Western State University Law Review 87 (2000).
Bougen, Philip D., “Organizational Crime, Auditors, and Liberal Government,” 28 International Journal of the Sociology of the Law 69 (2000).
Brown, Darryl K., “Street Crime, Corporate Crime, and the Contingency of Criminal Liability,” 149 University of Pennsylvania Law Review 1295 (2001).
Cline, John D., “Calculation of Loss Under the Sentencing Guidelines (Federal Sentencing Policy For Economic Crimes and Technology offenses Symposium),” 9 George Mason Law Review 357 (2000).
Dimento, Joseph F.C., et al., “Corporate Criminal Liability: A Bibliography (White-Collar Crime Symposium),” 28 Western State University Law Review 1 (2000).
Ellis, Alan & Feldman, James H., Jr., “Representing the White-Collar Client At Sentencing” 14 Criminal Justice 41 (2000).
Hecht, Jonathan H., “Airing the Dirty Laundry: the Application of the United States Sentencing Guidelines to White-Collar Money Laundering Offenses,” 49 American University Law Review 289 (1999).
Kahan, Dan M. & Posner, Eric A., “Shaming White-Collar Criminals: A Proposal for Reform of the Federal Sentencing Guidelines (Penalties: Public and Private),” 42 Journal of Law and Economics 365 (1999).
Orentlicher, David, “Representing Defendants on Charges of Economic Crime: Unethical When Done For A Fee,” 48 Emory Law Journal 1339 (1999).
Owens, John B., “Have We No Shame?: Thoughts on Shaming, ‘White-Collar’ Criminals and the Federal Sentencing Guidelines,” 49 American University Law Review 1047 (2000).
Ruhl, Christopher A., “Corporate and Economic Espionage: A Model Penal Approach For Legal Deterrence to Theft of Corporate Trade Secrets and Proprietary Business Information,” 33 Valparaiso University Law Review 763 (1999).
Schlegel, Kip, et al., “Are White-Collar Crimes Overcriminalized? Some Evidence on the Use of Criminal Sanctions Against Securities Violators (White-Collar Crime Symposium),” 28 Western State University Law Review 117 (2000).
Strader, J. Kelly, “The Judicial Politics of White-Collar Crime,” 50 Hastings Law Journal 1199 (1999).
Szockyj, Elizabeth, “Imprisoning White-Collar Criminals? (Symposium: A Fork In the Road Build More Prisons or Develop New Strategies to Deal With Offenders),” 23 Southern Illinois University Law Journal 485 (1999).
1. Originally drafted to supplement the presentation entitled “Technology and the United States Legal System: Increasing Accessibility” given by Prof. Roy M. Mersky during the 5th Seminar on American Law: Fighting Economic and Organized Crime, held in Brazil during August 7-14, 2002.
2. “See, Gilbert Geis and Colin Goff, Introduction in Edwin H. Sutherland, White Collar Crime: The Uncut Version (1983).”