Law Commons^™

The Quest For Finality: Five Stories Of White Collar Criminal Prosecution, Lucian Dervan

Lucian E Dervan

In this symposium article, Professor Dervan examines the issue of finality and sentencing. In considering this issue, he argues that prosecutors, defendants, and society as a whole are drawn to the concept of finality in various ways during criminal adjudications. Further, far from an aspirational summit, he argues that some outgrowths of this quest for finality could be destructive and, in fact, obstructive to some of the larger goals of our criminal justice system, including the pursuit of truth and the protection of the innocent.

Given the potential abstraction of these issues, Professor Dervan decided to discuss the possible consequences …

International White Collar Crime And Deferred Prosecution Agreements, Lucian Dervan

Lucian E Dervan

In October 2013, the American Bar Association Criminal Justice Section (“ABA CJS”) convened its 2nd annual International White Collar Crime conference in London, United Kingdom. In an auditorium filled almost to capacity, audience members representing practitioners, corporations, enforcement agencies, and academia listened intently to discussions regarding a myriad of topics, including enforcement trends, international internal investigation strategies, and global whistleblower incentives. The large audience and strong interest in the subject of the conference reiterated the growing importance of matters related to international white collar crime in an ever-increasingly globalized business environment.

One of the topics that drew much discussion in …

Regulatory Crime: Solutions, Lucian Dervan

Lucian E Dervan

On November 14, 2013, Professor Dervan was called to testify before the United States House of Representatives' Committee on the Judiciary Over-Criminalization Task Force. Available here is his written testimony. In his written testimony, Professor Dervan examines the phenomenon of over-criminalization, particularly in the regulatory area, and offers several recommended solutions for Congressional adoption. First, he recommends the adoption of a default rule for mens rea. Second, he recommends the adoption of a default rule applying mens rea to all material elements of an offense. Third, he recommends the codification of the Rule of Lenity. Finally, along with some additional …

White Collar Over-Criminalization: Deterrence, Plea Bargaining, And The Loss Of Innocence, Lucian Dervan

Lucian E Dervan

Overcriminalization takes many forms and impacts the American criminal justice system in varying ways. This article focuses on a select portion of this phenomenon by examining two types of overcriminalization prevalent in white collar criminal law. The first type of over criminalization discussed in this article is Congress’s propensity for increasing the maximum criminal penalties for white collar offenses in an effort to punish financial criminals more harshly while simultaneously deterring others. The second type of overcriminalization addressed is Congress’s tendency to create vague and overlapping criminal provisions in areas already criminalized in an effort to expand the tools available …

The Innocent Defendant’S Dilemma: An Innovative Empirical Study Of Plea Bargaining’S Innocence Problem, Lucian Dervan, Vanessa Edkins

Lucian E Dervan

In 1989, Ada JoAnn Taylor was accused of murder and presented with stark options. If she pleaded guilty, she would be rewarded with a sentence of ten to forty years in prison. If, however, she proceeded to trial and was convicted, she would likely spend the rest of her life behind bars. Over a thousand miles away in Florida and more than twenty years later, a college student was accused of cheating and presented with her own incentives to admit wrongdoing and save the university the time and expense of proceeding before a disciplinary review board. Both women decided the …

Bargained Justice: Plea Bargaining's Innocence Problem And The Brady Safety-Valve, Lucian Dervan

Lucian E Dervan

If any number of attorneys were asked in 2004 whether Lea Fastow’s plea bargain in the Enron case was constitutional, the majority would respond with a simple word – Brady. Yet while the 1970 Supreme Court decision Brady v. United States authorized plea bargaining as a form of American justice, the case also contained a vital caveat that has been largely overlooked by scholars, practitioners, and courts for almost forty years. Brady contains a safety-valve that caps the amount of pressure that may be asserted against defendants by prohibiting prosecutors from offering incentives in return for guilty pleas that are …

Hearing On Stolen Or Counterfeit Goods Legislation, Lucian Dervan

Lucian E Dervan

On March 28, 2012, Professor Dervan was called to testify before the Subcommittee on Crime, Terrorism, and Homeland Security (Judiciary Committee, U.S. House of Representatives) and offer his thoughts regarding proposed counterfeit goods legislation (The Safe Doses Act (H.R. 4223) and the Counterfeit Drug Penalty Enhancement Act of 2011 (H.R. 3668)). In his prepared statement, Professor Dervan examines the phenomenon of overcriminalization, the collapse of mens rea, the true impact of increased statutory maximums, plea bargaining, and the continued deterioration of our constitutionally protected right to trial by jury. His closing remarks to the Committee offer a poignant critique of …

Global Bribery: The Foreign Corrupt Practices Act, Lucian Dervan

Lucian E Dervan

Written for a European publication focusing on internal investigations, this piece seeks to introduce the reader to the fundamental elements of the American FCPA, including discussion of available defenses under the statute. Further, this piece discusses some of the collateral considerations that must be made during the investigation of an FCPA matter, particularly given the existence of overlapping anti-bribery provisions in various countries throughout the world and the likelihood of concurrent parallel proceedings both in the United States and abroad during the pendency of any international bribery matter. Finally, this piece offers some thoughts regarding FCPA compliance programs.

Information Warfare And Civilian Populations: How The Law Of War Addresses A Fear Of The Unknown, Lucian Dervan

Lucian E Dervan

Imagine a civilian communications system is being temporarily relied upon by an opposing military force for vital operations. If one launches a computer network attack against the communications system, the operation may disable the opposing force’s ability to function adequately and, as a result, prompt their surrender. The alternative course of action is to launch a traditional kinetic weapons attack in the hopes of inflicting enough casualties on the troops to induce surrender. Given these options, the law of war would encourage the utilization of the computer network attack because it would result in less unnecessary suffering. But is the …

American Prison Culture In An International Context: An Examination Of Prisons In America, The Netherlands, And Israel, Lucian Dervan

Lucian E Dervan

In 2004, British authorities arrested Abu Hamza al-Masri, an Egyptian born cleric sought by the United States for his involvement in instigating terrorist attacks. As authorities prepared to extradite him in July 2010, the European Court of Human Rights issued a stay. According to the court, al-Masri’s claims that maximum-security prisons in the United States violate European human rights laws prohibiting torture and degrading treatment warranted further examination. Regardless of the eventual resolution of the al-Masri case, the European Court of Human Rights’ inability to summarily dismiss these assertions demonstrates something quite troubling. At a minimum, the court’s actions indicate …

Overcriminalization 2.0: The Symbiotic Relationship Between Plea Bargaining And Overcriminalization, Lucian Dervan

Lucian E Dervan

In discussing imperfections in the adversarial system, Professor Ribstein notes in his article entitled Agents Prosecuting Agents, that “prosecutors can avoid the need to test their theories at trial by using significant leverage to virtually force even innocent, or at least questionably guilty, defendants to plead guilty.” If this is true, then there is an enormous problem with plea bargaining, particularly given that over 95% of defendants in the federal criminal justice system succumb to the power of bargained justice. As such, this piece provides a detailed analysis of modern-day plea bargaining and its role in spurring the rise of …

The Surprising Lessons From Plea Bargaining In The Shadow Of Terror, Lucian Dervan

Lucian E Dervan

Since September 11, 2001, several hundred individuals have been convicted of terrorism related charges. Of these convictions, over 80% resulted from a plea of guilty. It is surprising and counterintuitive that such a large percentage of these cases are resolved in this manner, yet, even when prosecuting suspected terrorists caught attempting suicide attacks, the power of the plea bargaining machine exerts a striking influence. As a result, a close examination of these extraordinary cases offers important insights into the forces that drive the plea bargaining system. Utilizing these insights, this article critiques two divergent and dominant theories of plea bargaining …

Re-Evaluating Corporate Criminal Liability: The Doj's Internal Moral Culpability Standard For Corporate Criminal Liability, Lucian Dervan

Lucian E Dervan

This article examines the common law respondeat superior test for corporate criminal liability and proposes that it be expanded beyond the current two prong test to encompass a third prong regarding moral culpability. Further, this article supports this proposal by noting that the Department of Justice has already incorporated a moral culpability element into its analysis of corporate criminal liability through application of the Department’s Principles of Federal Prosecution of Business Organizations. While some might argue that one should be satisfied that the Department of Justice has seen fit to implement a new corporate criminal liability standard on its own …

Responding To Potential Employee Misconduct In The Age Of The Whistleblower: Foreseeing And Avoiding Hidden Dangers, Lucian E. Dervan

Lucian E Dervan

The number of law suits brought against corporations in the United States as a result of employee whistleblowers has risen in recent years. There are two predominant reasons for this trend. First, publicity surrounding cases such as Enron in the early 2000s have made employees more sensitive to potential misconduct in the workplace. For instance, a 2007 study found that 56% of employees reported that they had observed conduct that “violated company ethics standards, policy, or the law” in the previous twelve months. Second, employees are now more aware of the role of whistleblowers and are more likely to report …

Plea Bargaining's Survival: Financial Crimes Plea Bargaining, A Continued Triumph In A Post-Enron World, Lucian E. Dervan

Lucian E Dervan

This article examines the war on financial crimes that began after the collapse of Enron in 2001. Although many believed that the reforms implemented following this scandal led to greater prosecutorial focus on financial crimes and longer prison sentences, an analysis of data from 1995 through 2006 reveals that little has actually changed. The statistics demonstrate that the government's focus on financial crimes has not increased and prison sentences for fraud have remained stagnant. How could this be the case? It is this author's hypothesis that although prosecutors could have chosen to use new statutes and amendments to the United …

Watching Your Step: Avoiding The Pitfalls And Perils Of Corporate Internal Investigations, Lucian E. Dervan

Lucian E Dervan

Since the creation of the Corporate Fraud Task Force in July 2002, the United States Department of Justice and the other member agencies have worked feverishly to ferret out corporate crime and punish wrongdoers. The Task Force, in the three years following the announcement of its formation by President Bush, has instituted hundreds of investigations, secured over five hundred corporate fraud convictions or guilty pleas, and charged over nine hundred defendants. Not to be outdone by federal law enforcement authorities, some state attorneys general have followed suit, pursuing their own well-publicized probes of corporate practices. The stakes in these investigations …

Three Governors: Herman Talmadge, The Georgia Supreme Court And The Gubernatorial Election Of 1946, Lucian E. Dervan

Lucian E Dervan

Herman Talmadge, who died March 21, 2002, was a governor, senator, and Georgia icon who controlled state politics for much of the last half of the 20th century. While many events in Talmadge’s life deserve attention, one event in particular stands out amongst the trials and tribulations, victories and scandals in this long American political life. In 1946, the Georgia gubernatorial election brought a state government to its knees, a state Supreme Court to the height of its power and Talmadge into the national spotlight as a revolver toting aspiring governor.

Selected Conceptions Of Federalism: The Selective Use Of History In The Supreme Court's States' Rights Opinions, Lucian E. Dervan

Lucian E Dervan

In the period leading to the Civil War, debate over federalism and states’ rights developed into the seeds of a war that would forever change America. Over one hundred years later, the debate over federalism continues, unanswered by the blood of more than half a million soldiers. Over the last decade, the United States Supreme Court has increased state sovereignty and state immunity to levels unseen since the pre-Civil War period. The Court’s opinions are structured in a manner that relies significantly on historical methodologies. The multiple rationales used to structure the Justices’ arguments clash, and the Justices spar with …