Government Regulatory Convictions for April 2014
Table 1. Criminal Government Regulatory Convictions
The latest available data from the Justice Department show that during April 2014 the government reported 142 new government regulatory convictions.
According to the case-by-case information analyzed by the Transactional Records Access Clearinghouse (TRAC), this number is down 32.1 percent over the previous month.
The comparisons of the number of defendants convicted for government regulatory-related offenses are based on case-by-case information obtained by TRAC under the Freedom
of Information Act from the Executive Office for United States Attorneys (see Table 1).
When monthly 2014 convictions of this type are compared with those of the same period in
the previous year, the number of convictions was down (-2.5%).
Convictions over the past year are still much higher than they were five years ago.
Overall, the data show that convictions of this type are up 11.4 percent from levels reported in 2009.
Figure 1. Monthly Trends in Government Regulatory Convictions
The increase from the levels five years ago in government regulatory convictions for these matters is shown more clearly in Figure 1.
The vertical bars in Figure 1
represent the number of government regulatory convictions of this type recorded on a month-to-month
basis. Where a prosecution was initially filed in U.S. Magistrate Court and then transferred to the U.S. District Court,
the magistrate filing date was used since this provides an earlier indicator of actual trends.
The superimposed line on the bars plots the six-month moving average so
that natural fluctuations are smoothed out. The one and five-year rates of change in Table 1 and in the sections that follow are all based upon this six-month moving average. To view trends year-by-year rather than month-by-month, see TRAC's annual report series for a broader picture.
Within the broad category of government regulatory, cases were classified by prosecutors into more specific types.
Case types within government regulatory are
Counterfeiting and Forgery
Customs Violations - Duty
Customs Violations - Currency
Energy Pricing and Related Fraud
Health and Safety Violations - Employees
Health and Safety Violations - General Public
Trafficking in Contraband Cigarettes
Energy Violations - Nuclear Waste Issues
Money Laundering/Structuring (Narcotics)
Money Laundering/Structuring (Other)
Export Enforcement General
Other Government Regulatory Offenses
The largest number of convictions of these matters in April 2014 was for "Counterfeiting and Forgery", accounting for 33.8 percent of convictions. Convictions were also filed for "Other-Regulatory Offenses" (30.3%), "
Money Laundering-Other" (16.2%), "Customs-Currency Violations" (7.7%), "Contraband Cigarettes-Trafficking in" (2.8%), "Health and Safety Violations-Employees" (2.8%), "Money Laundering-Drug" (2.8%).
See Figure 2.
The lead investigative agency for government regulatory convictions in April 2014
was SecServ accounting for 31 percent of convictions.
Other agencies with substantial numbers of government regulatory convictions were:
Interior (20% ), DHS (15%), IRS (8%), Agri (6%).
See Figure 3.
Figure 2. Specific Types of Convictions
Figure 3. Convictions by Investigative Agency
Government Regulatory Convictions in U.S. Magistrate Courts
Top Ranked Lead Charges
In April 2014, 36 defendants
in government regulatory cases for these matters were
filed in U.S. Magistrate Courts. These courts handle less serious
misdemeanor cases, including what are called "petty offenses." In
addition, complaints are sometimes filed in the magistrate courts before
an indictment or information is entered. In these cases, the matter
starts in the magistrate courts and later moves to the district court
where subsequent proceedings take place.
In the magistrate courts in April the most frequently cited lead charge was
Title 18 U.S.C Section 19 involving "Petty Offense Defined". This was the lead charge
for 25 percent of all magistrate convictions in April.
Other frequently prosecuted lead charges include: "36 CFR 4.21c - Speeding" (16.7%).
Government Regulatory Convictions in U.S. District Courts
In April 2014, 106 defendants in new cases
for these matters were charged in the U.S. District Courts. In addition during April there
were an additional 0 defendants whose cases moved from the magistrate
courts to the U.S. district courts after an indictment or information
was filed. The sections which follow cover both sets of cases and
therefore cover all matters filed in district court during April.
Top Ranked Lead Charges
Table 2 shows the top lead charges recorded in the convictions of government regulatory matters
filed in U.S. District Court during April 2014.
Table 2. Top Charges for Convictions
"Uttering counterfeit obligations or securities" (Title 18 U.S.C Section 472) was the most frequent recorded lead charge.
"Uttering counterfeit obligations or securities" (Title 18 U.S.C Section 472) was ranked 2 a year ago, while it was ranked 2 five years ago.
Ranked 2nd in frequency was the lead charge "Laundering of monetary instruments" under Title 18 U.S.C Section 1956.
"Laundering of monetary instruments" under Title 18 U.S.C Section 1956 was ranked 4 a year ago, while it was ranked 3 five years ago.
Ranked 3rd was "Obligations or securities of United States" under Title 18 U.S.C Section 471.
"Obligations or securities of United States" under Title 18 U.S.C Section 471 was ranked 1 a year ago, while it was ranked 1 five years ago.
Among these top ten lead charges, the one showing the greatest
increase in convictions — up 41.7 percent — compared to one year ago was Title 31 U.S.C Section 5324
that involves " Structuring transactions to evade reporting requir
Compared to five years ago, the largest increase — 300 percent — was registered for
convictions under " Firearms; Unlawful acts
" (Title 18 U.S.C Section 922 ).
Again among the top ten lead charges, the one showing the sharpest
decline in convictions compared to one year ago — down 59.6 percent — was
" Securities of the States and private entities
" (Title 18 U.S.C Section 513 ).
Compared to five years ago, the most significant decline in convictions — 38.9 percent — was
for convictions where the lead charge was " Trafficking in counterfeit goods or services
" (Title 18 U.S.C Section 2320
Top Ranked Judicial Districts
In April 2014 the Justice Department said the government obtained 40.5 government regulatory convictions for every ten million people in the United States.
Understandably, there is great variation in the number of government regulatory convictions in each of the nation's ninety-four federal judicial districts.
The districts registering the
largest number of convictions of this type last month are shown in Table 3.
Table 3. Top 10 Districts
The Southern District of Florida (Miami) — with 13 convictions — was the most active during April 2014.
The Middle District of Florida (Tampa) ranked 2nd.
Middle District of Pennsylvania (Scranton) is now ranking 3rd.
Top Ranked District Judges
At any one time, there are about 680 federal District Court judges working in the United States. The judges recorded with the largest number of new government regulatory crime cases resulting in convictions of this type
during April 2014 are shown in Table 4.
A total of 13 out of the "top ten" judges were in districts which were in the top ten with the largest number of government regulatory convictions , while the remaining 5 judges were from other districts.
(Because of ties, there were a total of 18 judges in the "top ten" rankings.)
Judges John E. Steele in the Middle District of Florida (Tampa) and Jeffrey James Helmick in the Northern District of Ohio (Cleveland) ranked 1st with 4 convicted in government regulatory convictions.
Daniel T. K. Hurley in the Southern District of Florida (Miami), James I. Cohn in the Southern District of Florida (Miami), Richard Paul Conaboy in the Middle District of Pennsylvania (Scranton) and James K. Lubing in the District of Wyoming
ranked 3rd with 3 convicted in government regulatory convictions.
Report Generated: July 3, 2014