Government Regulatory Prosecutions for July 2013
Table 1: Criminal Government Regulatory Prosecutions
The latest available data from the Justice Department show that during July 2013 the government reported 190 new government regulatory prosecutions.
According to the case-by-case information analyzed by the Transactional Records Access Clearinghouse (TRAC), this number is down 6.9% 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 2013 prosecutions of this type are compared with those of the same period in
the previous year, the number of filings was up (29.4 percent).
Prosecutions over the past year are still much higher than they were five years ago.
Overall, the data show that prosecutions of this type are up 11.1 percent from levels reported in 2008.
Figure 1: Monthly trends in government regulatory prosecutions
The increase 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
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 July 2013 was for "Other-Regulatory Offenses", accounting for 47.4 percent of prosecutions. Prosecutions were also filed for "Counterfeiting and Forgery" (31.6%), "
Money Laundering-Other" (7.9%), "Customs-Currency Violations" (4.7%), "Money Laundering-Drug" (4.2%).
See Figure 2.
The lead investigative agency for government regulatory prosecutions in July 2013
was Interior accounting for 34 percent of prosecutions referred.
Other agencies with substantial numbers of government regulatory referrals were:
SecServ (29% ), DHS (11%), DEA (6%), Defense (4%).
See Figure 3.
Figure 2: Specific types of prosecutions
Figure 3: Prosecutions by investigative agency
Government Regulatory Prosecutions in U.S. Magistrate Courts
Top Ranked Lead Charges
In July 2013, 95 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 July the most frequently cited lead charge was
Title 36 U.S.C Section . involving the "Speeding". This was the lead charge
for 13.7 percent of all magistrate filings in July.
Other frequently prosecuted lead charges include: "36 CFR 2.35b2 - Possession of a controlled substance" (12.6%), "50 USC 797 - Control of Subversive Activities" (6.3%), "18 USC 7 - Special Maritime/Territorial Jurisdiction of US" (5.3
%), "36 CFR 2.35a2I - Sale or gift of alcoholic beverage to a person under the age of 21" (5.3%), "36 CFR 2.35a2ii - Possession of alcohol by a minor" (5.3%).
Government Regulatory Prosecutions in U.S. District Courts
In July 2013, 95 defendants in new cases
for these matters were charged in the U.S. District Courts. In addition during July there
were an additional 16 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 July.
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 July 2013.
Table 2: Top charges filed
"Obligations or securities of United States" (Title 18 U.S.C Section 471) was the most frequent recorded lead charge.
"Obligations or securities of United States" (Title 18 U.S.C Section 471) was ranked 3 a year ago, while it was ranked 3 five years ago.
Ranked 2nd in frequency was the lead charge "Uttering counterfeit obligations or securities" under Title 18 U.S.C Section 472.
"Uttering counterfeit obligations or securities" under Title 18 U.S.C Section 472 was ranked 1 a year ago, while it was ranked 1 five years ago.
Ranked 3rd were "Bank Fraud" under Title 18 U.S.C Section 1344 and "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 5 a year ago, while it was ranked 4 five years ago.
Among these top ten lead charges, the one showing the greatest
increase in prosecutions—up 600 percent—compared to one year ago was Title 31 U.S.C Section 5313
that involves " Reports on domestic coins and currency transaction
Compared to five years ago, the largest increase—180 percent—was registered for
prosecutions under " Bulk Cash Smuggling into or out of the United States
" (Title 31 U.S.C Section 5332 ).
Again among the top ten lead charges, the one showing the sharpest
decline in prosecutions compared to one year ago—down 59.2 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 prosecutions— 64.7 percent—was
for filings where the lead charge was " Conspiracy to commit offense or to defraud US
" (Title 18 U.S.C Section 371
Top Ranked Judicial Districts
In July 2013 the Justice Department said the government brought 43.4 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.
Table 3: Top 10 districts
The Southern District of Florida (Miami)—with 11 prosecutions—was the most active during July 2013.
The Eastern District of Washington (Spokane) ranked 2nd.
Southern District of Alabama (Mobile) 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 July 2013 are shown in Table 4.
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 6 judges were from other districts.
(Because of ties, there were a total of 16 judges in the "top ten" rankings.)
Judge Edward F. Shea in the Eastern District of Washington (Spokane) ranked 1st with 8 defendants in government regulatory cases.
Judge Callie V. Granade in the Southern District of Alabama (Mobile) ranked 2nd with 7 defendants in government regulatory cases.
Judge Kevin Michael Moore in the Southern District of Florida (Miami) ranked 3rd with 6 defendants in government regulatory cases.
Report Generated: September 23, 2013