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In the Courts

By ALM Staff | Law Journal Newsletters |
October 30, 2007

Crawford Violation Not Harmless in Securities Fraud Where Intent Is Paramount

In United States v. Becker, 06-1274-cr, 2007 WL 2669604, (2d Cir. Sept. 13, 2007), consistent with its holding in United States v. McClain, 377 F.3d 219, 221-22 (2d Cir. 2004), the Second Circuit held that admission of co-conspirator plea allocutions without the opportunity for cross examination violates a defendant's Sixth Amendment confrontation right under the U.S. Supreme Court decision in Crawford v. Washington, 541 U.S. 36 (2004). However, Becker is noteworthy because of the highlighted role that the willful requirement of securities fraud played in the court's harmless error standard analysis, and its ultimate decision to affirm the lower court's judgment vacating the conviction. The court's reasoning is also instructive in arguing the willful-intent element of securities fraud, and is an artful lesson in distinguishing securities fraud actions from general criminal precedent.

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