White Collar Crime Prosecutions for January 2013

Number Latest Month 634
Percent Change from previous month 19.8
Percent Change from 1 year ago -21.3
Percent Change from 5 years ago (Including Magistrate Court) -10.8
Percent Change from 5 years ago (Excluding Magistrate Court) -15.5
Table 1: Criminal White Collar Crime Prosecutions

The latest available data from the Justice Department show that during January 2013 the government reported 634 new white collar crime prosecutions. According to the case-by-case information analyzed by the Transactional Records Access Clearinghouse (TRAC), this number is up 19.8% over the previous month.

White Collar Crime

This report summarizes the government's recent efforts when it comes to combating white collar crime—the number of such cases, the investigative agencies involved, the laws cited, the busiest federal districts and the busiest federal judges.

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The comparisons of the number of defendants charged with white collar crime-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 down (-21.3 percent). 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 10.8 percent from levels reported in 2008.

The decrease from the levels five years ago in white collar crime prosecutions for these matters is shown more clearly in Figure 1. The vertical bars in Figure 1 represent the number of white collar crime 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.

Plot of _FREQ_ by FYMONDT

Figure 1: Monthly trends in white collar crime prosecutions

Within the broad category of white collar crime, cases were classified by prosecutors into more specific types.

Case types within white collar crime are

Federal Procurement Fraud Federal Program Fraud
Tax Fraud Arson for Profit
Other Insurance Fraud Financial Institution Fraud
Bankruptcy Fraud Advance Fee Schemes
Other Fraud Against Businesses Consumer Fraud
Securities Fraud Commodities Fraud
Other Investment Fraud Antitrust Violations - Other
Computer Fraud Health Care Fraud
Fraud Against Insurance Providers Intellectual Property Violations
Insider Fraud Against Insurance Providers MEWA (Multiple Employer Welfare Arrangements) Fraud/MET
Antitrust Violations - Airlines Antitrust Violations - Banking
Antitrust Violations - Defense Procurement Antitrust Violations - Extraterritorial Application Of
Antitrust Violations - Finance Markets, Other than Banking Telemarketing Fraud
Corporate Fraud Identity Theft
Aggravated Identity Theft Other White Collar Crime/Fraud

The largest number of prosecutions of these matters in January 2013 was for "Fraud-Other", accounting for 22.2 percent of prosecutions. Prosecutions were also filed for "Fraud-Federal Program" (13.6%), "Fraud-Tax" (13.1%), " Fraud-Financial Institution" (10.3%), "Fraud-Identity Theft-Other" (7.6%), "Fraud-Health Care" (6.6%), "Fraud-Other Business" (5.7%), "Fraud-Identity Theft-Aggravated" (5.4%), "Fraud-Mortgage" (4.3%), "Fraud-Securities" (2.4%). See Figure 2.

The lead investigative agency for white collar crime prosecutions in January 2013 was FBI accounting for 23 percent of prosecutions referred. Other agencies with substantial numbers of white collar crime referrals were: SecServ (15% ), IRS (13%), Postal (9%). See Figure 3.

Pie chart of progcatlabel

Figure 2: Specific types of prosecutions
Pie chart of agenrevgrp

Figure 3: Prosecutions by investigative agency

White Collar Crime Prosecutions in U.S. Magistrate Courts

Top Ranked Lead Charges

In January 2013, 91 defendants in white collar crime 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 January the most frequently cited lead charge was Title 18 U.S.C Section 1028 involving the "Aggravated Identity Theft". This was the lead charge for 16.5 percent of all magistrate filings in January.

Other frequently prosecuted lead charges include: "18 USC 1344 - Bank Fraud" (11%), "18 USC 641 - Public money, property or records" (9.9%), "18 USC 1029 - Fraud and related activity - access devices" (8.8%), " 18 USC 1343 - Fraud by wire, radio, or television" (7.7%), "18 USC 1028 - Fraud and related activity - id documents" (5.5%).

White Collar Crime Prosecutions in U.S. District Courts

In January 2013, 543 defendants in new cases for these matters were charged in the U.S. District Courts. In addition during January there were an additional 43 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 January.

Top Ranked Lead Charges

Table 2 shows the top lead charges recorded in the prosecutions of white collar crime matters filed in U.S. District Court during January 2013.

Lead Charge Count Rank 1yr ago 5yrs ago  
18 USC 641 - Public money, property or records 64 1 6 6 More
18 USC 1349 - Mail Fraud - Attempt and Conspiracy 54 2 5 9 More
18 USC 1344 - Bank Fraud 48 3 2 1 More
18 USC 1343 - Fraud by wire, radio, or television 45 4 1 4 More
18 USC 1341 - Mail Fraud - Frauds and swindles 38 5 4 2 More
18 USC 1029 - Fraud and related activity - access devices 35 6 8 7 More
18 USC 1962 - RICO - prohibited activities 29 7 - - More
18 USC 371 - Conspiracy to commit offense or to defraud US 27 8 3 5 More
18 USC 1028 - Fraud and related activity - id documents 25 9 7 3 More
18 USC 1347 - Health Care Fraud 22 10 9 8 More
Table 2: Top charges filed

  • "Public money, property or records" (Title 18 U.S.C Section 641) was the most frequent recorded lead charge. "Public money, property or records" (Title 18 U.S.C Section 641) was ranked 6 a year ago, while it was ranked 6 five years ago.

  • Ranked 2nd in frequency was the lead charge "Mail Fraud - Attempt and Conspiracy" under Title 18 U.S.C Section 1349. "Mail Fraud - Attempt and Conspiracy" under Title 18 U.S.C Section 1349 was ranked 5 a year ago, while it was ranked 9 five years ago.

  • Ranked 3rd was "Bank Fraud" under Title 18 U.S.C Section 1344. "Bank Fraud" under Title 18 U.S.C Section 1344 was ranked 2 a year ago, while it was ranked 1 five years ago.

Among these top ten lead charges, the one showing the greatest increase in prosecutions—up 11.6 percent—compared to one year ago was Title 18 U.S.C Section 1349 that involves " Mail Fraud - Attempt and Conspiracy ". This was the same statute that had the largest increase—127.2 %—when compared with five years ago.

Again among the top ten lead charges, the one showing the sharpest decline in prosecutions compared to one year ago—down 33.5 percent—was Bank Fraud (Title 18 U.S.C Section 1344 ). Compared to five years ago, the most significant decline in prosecutions— 41.2 percent—was for filings where the lead charge was " Fraud and related activity - id documents " (Title 18 U.S.C Section 1028 ).

Top Ranked Judicial Districts

In January 2013 the Justice Department said the government brought 229.1 white collar crime prosecutions for every ten million people in the United States.

Understandably, there is great variation in the per capita number of white collar crime prosecutions that are filed in each of the nation's ninety-four federal judicial districts.

The districts registering the largest number of prosecutions per capita for these matters last month are shown in Table 3. Districts must have at least 5 white collar crime prosecutions to receive a ranking.


Judicial District Percapita Count Rank 1yr ago 5yrs ago  
N. Y., S 1,145 49 1 3 3 More
Ga, S 739 9 2 69 60 More
Tenn, W 695 9 3 38 53 More
Miss, N 649 6 4 53 84 More
Kansas 639 15 5 20 18 More
Fla, N 628 9 6 34 74 More
Ill, N 497 39 7 5 15 More
Ga, M 484 8 8 69 55 More
Ill, S 471 5 9 58 69 More
Nebraska 468 7 10 53 51 More
Table 3: Top 10 districts (per ten million people)

  • The Southern District of New York (Manhattan)—with 1145 prosecutions as compared with 229.1 prosecutions per ten million population in the United States—was the most active during January 2013. The Southern District of New York (Manhattan) was ranked 3 a year ago, while it was ranked 3 for most frequent use five years ago.

  • The Southern District of Georgia (Savannah) ranked 2nd.

  • Western District of Tennessee (Memphis) is now ranking 3rd.

Recent entrants to the top 10 list were Kansas , now ranked 5th , and Northern District of Florida (Pensacola) at 6th In the same order, these districts ranked 20th and 34th one year ago and 18th and 74th five years ago.

The federal judicial district which showed the greatest growth in the rate of white collar crime prosecutions compared to one year ago— 93.8 percent—was Middle District of Georgia (Macon). Compared to five years ago, the district with the largest growth— 93 percent—was Northern District of Illinois (Chicago).

In the last year, the judicial District Court recording the largest drop in the rate of white collar crime prosecutions— 65.4 percent—was Northern District of Mississippi (Oxford).  But over the past five years, Kansas showed the largest drop— 5.8 percent.

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 white collar crime crime cases of this type during January 2013 are shown in Table 4.

Judge Count Rank 1yr ago 5yrs ago  
Castel, P. Kevin N. Y., S 29 1 376 313 More
Dominguez, Daniel R. Puer Rico 21 2 - - More
Smith, G. R. Ga, S 8 3 130 181 More
Marten, John Thomas Kansas 8 3 166 70 More
Boyle, Terrence William N Car, E 6 5 284 181 More
Wood, Kimba Maureen N. Y., S 6 5 376 - More
Heartfield, Thad Texas, E 6 5 595 - More
Hanen, Andrew S. Texas, S 6 5 - 415 More
Hinkle, Robert Lewis Fla, N 5 9 54 181 More
King, James Lawrence Fla, S 5 9 105 415 More
DeGuilio, Jon Ernest Ind, N 5 9 - - More
Goldsmith, Mark Allan Mich, E 5 9 214 - More
Bumb, Renee Marie N. J. 5 9 284 556 More
McBryde, John H. Texas, N 5 9 284 313 More
Table 4: Top 10 judges

A total of 5 out of the "top ten" judges were in districts which were in the top ten with the largest number of white collar crime filings per capita, while the remaining 9 judges were from other districts. (Because of ties, there were a total of 14 judges in the "top ten" rankings.)

  • Judge P. Kevin Castel in the Southern District of New York (Manhattan) ranked 1st with 29 defendants in white collar crime cases.

  • Judge Daniel R. Dominguez in the District of Puerto Rico ranked 2nd with 21 defendants in white collar crime cases.

  • Judges G. R. Smith in the Southern District of Georgia (Savannah) and John Thomas Marten in the District of Kansas ranked 3rd with 8 defendants in white collar crime cases.

Report Generated: March 5, 2013
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