Government Regulatory Prosecutions for August 2017

Number Latest Month 265
Percent Change from previous month 53.2
Percent Change from 1 year ago 9.0
Percent Change from 5 years ago
(Including Magistrate Court)
-7.0
Percent Change from 5 years ago
(Excluding Magistrate Court)
-42.3
Table 1. Criminal Government Regulatory Prosecutions

The latest available data from the Justice Department show that during August 2017 the government reported 265 new government regulatory prosecutions. According to the case-by-case information analyzed by the Transactional Records Access Clearinghouse (TRAC), this number is up 53.2 percent over the previous month.

The comparisons of the number of defendants charged with 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 2017 prosecutions of this type are compared with those of the same period in the previous year, the number of filings was up (9%). Prosecutions over the past year are still much lower than they were five years ago. Overall, the data show that prosecutions of this type are down 7 percent from levels reported in 2012.

Bar and line plot of FYMON

Figure 1. Monthly Trends in Government Regulatory Prosecutions

The leveling out from the levels five years ago in government regulatory prosecutions for these matters is shown more clearly in Figure 1. The vertical bars in Figure 1 represent the number of government regulatory prosecutions 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

  • Copyright Violations

  • 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 prosecutions of these matters in August 2017 was for "Other-Regulatory Offenses", accounting for 80.8 percent of prosecutions. Prosecutions were also filed for "Counterfeiting and Forgery" (13.2%), "Money Laundering-Other" (3.4%). See Figure 2.

The lead investigative agency for government regulatory prosecutions in August 2017 was Interior accounting for 72 percent of prosecutions referred. Other agencies with substantial numbers of government regulatory referrals were: SecServ (11% ), DHS (5%), FBI (2%). See Figure 3.

Pie chart of progcatlabel

Figure 2. Specific Types of Prosecutions
Pie chart of agenrevgrp

Figure 3. Prosecutions by Investigative Agency

Government Regulatory Prosecutions in U.S. Magistrate Courts

Top Ranked Lead Charges

In August 2017, 210 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 August the most frequently cited lead charge was Title 36 U.S.C Section . involving "Possession of a controlled substance". This was the lead charge for 20.5 percent of all magistrate filings in August.

Other frequently prosecuted lead charges include: "36 CFR 1.5f - Closed Area Violation (Area closed after 1800 hours)" (13.8%), "36 CFR 4.21c - Speeding" (11.9%), "Other US Code Section" (6.2%), "36 CFR 2.35a2ii - Possession of alcohol by a minor" (5.7%).

Government Regulatory Prosecutions in U.S. District Courts

In August 2017, 55 defendants in new cases for these matters were charged in the U.S. District Courts. In addition during August there were an additional 17 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 August.

Top Ranked Lead Charges

Table 2 shows the top lead charges recorded in the prosecutions of government regulatory matters filed in U.S. District Court during August 2017.

Lead Charge Count Rank  
18 USC 472 - Uttering counterfeit obligations or securities 14 1 More
18 USC 371 - Conspiracy to commit offense or to defraud US 9 2 More
18 USC 471 - Obligations or securities of United States 9 2 More
18 USC 1956 - Laundering of monetary instruments 7 4 More
18 USC 1955 - Prohibition of illegal gambling businesses 4 5 More
31 USC 5332 - Bulk Cash Smuggling into or out of the United States 4 5 More
18 USC 1029 - Fraud and related activity - access devices 3 7 More
36 CFR 2.35b2 - Possession of a controlled substance 3 7 More
18 USC 1344 - Bank Fraud 2 9 More
18 USC 1960 - Prohibition of illegal money transmitting business 2 9 More
21 USC 841 - Drug Abuse Prevention & Control-Prohibited acts A 2 9 More
31 USC 5324 - Structuring transactions to evade reporting requir 2 9 More
Table 2. Top Charges Filed

  • "Uttering counterfeit obligations or securities" (Title 18 U.S.C Section 472) was the most frequent recorded lead charge.

  • Ranked 2nd in frequency were the lead charges "Conspiracy to commit offense or to defraud US" under Title 18 U.S.C Section 371 and "Obligations or securities of United States" under Title 18 U.S.C Section 471.

Top Ranked Judicial Districts

In August 2017 the Justice Department said the government brought 26.9 government regulatory prosecutions for every ten million people in the United States.

Understandably, there is great variation in the number of government regulatory prosecutions that are filed in each of the nation's ninety-four federal judicial districts.

The districts registering the largest number of prosecutions of this type last month are shown in Table 3.


Judicial District Count Rank  
S Car 12 1 More
Texas, E 6 2 More
Cal, C 5 3 More
Fla, S 4 4 More
Miss, N 4 4 More
Texas, W 4 4 More
Wyoming 4 4 More
Idaho 3 8 More
Mass 3 8 More
Miss, S 3 8 More
Table 3. Top 10 Districts

  • The District of South Carolina — with 12 prosecutions — was the most active during August 2017.

  • The Eastern District of Texas (Tyler) ranked 2nd.

  • Central District of California (Los Angeles) 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 of this type during August 2017 are shown in Table 4.

Judge Count Rank  
Mazzant, Amos L. Texas, E 4 1 More
Carman, Mark L. Wyoming 4 1 More
Williams, Kathleen Mary Fla, S 3 3 More
Winmill, B. Lynn Idaho 3 3 More
Hendricks, Bruce Howe S Car 3 3 More
Tucker, Josephine Staton Cal, C 2 6 More
Jonker, Robert James Mich, W 2 6 More
Wingate, Henry Travillion Miss, S 2 6 More
Payne, Roy S. Texas, E 2 6 More
Rateau, Jacqueline M. Arizona 1 10 More
Lorenz, M. James Cal, S 1 10 More
Whelan, Thomas J. Cal, S 1 10 More
Scola, Robert Nichols, Jr. Fla, S 1 10 More
Moody, James Tyne Ind, N 1 10 More
Martin, John E. Ind, N 1 10 More
Marten, John Thomas Kansas 1 10 More
Guirola, Louis, Jr. Miss, S 1 10 More
Johnson, Sterling, Jr. N. Y., E 1 10 More
Arcara, Richard Joseph N. Y., W 1 10 More
Vilardo, Lawrence Joseph N. Y., W 1 10 More
Dlott, Susan J. Ohio, S 1 10 More
Fitzwater, Sidney Allen Texas, N 1 10 More
O'Connor, Reed Charles Texas, N 1 10 More
Alvarez, Micaela Texas, S 1 10 More
Ramos, Nelva Gonzales Texas, S 1 10 More
Waddoups, Clark Utah 1 10 More
Lasnik, Robert S. Wash, W 1 10 More
Table 4. Top Ten Judges

A total of 10 out of the "top ten" judges were in districts which were in the top ten with the largest number of government regulatory filings , while the remaining 17 judges were from other districts. (Because of ties, there were a total of 27 judges in the "top ten" rankings.)

  • Judges Amos L. Mazzant in the Eastern District of Texas (Tyler) and Mark L. Carman in the District of Wyoming ranked 1st with 4 defendants in government regulatory cases.

  • Judges Kathleen Mary Williams in the Southern District of Florida (Miami), B. Lynn Winmill in the District of Idaho and Bruce Howe Hendricks in the District of South Carolina ranked 3rd with 3 defendants in government regulatory cases.

Report Generated: September 19, 2017
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