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'Simple' Statute and 'Affirmative Defense' Lead to Another Dismissed Indictment
Adding to the long list of failed prosecutions, which have been the subject of many prior articles in this newsletter, the United States District Court for the District of Maryland dismissed an indictment against Lauren Stevens, former in-house counsel for GlaxoSmithKline (GSK). Stevens was the lawyer responsible for certifying and supervising document production for a subpoena issued by the Food and Drug Administration (FDA). She was charged with (among other counts) concealment of documents, in violation of 18 U.S.C. ' 1519.
In U.S. v. Stevens, 2011 WL 1033707, (D. Md. Mar. 23, 2011), the prosecution was upended (at least temporarily) by an “affirmative defense,” that proved to be something quite different. The court held that prosecutors failed to properly instruct the Grand Jury about the significance of the legal advice Ms. Stevens obtained when supervising and certifying the document production. The error led to dismissal of the indictment.
The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.
Use of Deferred Prosecution Agreements In White Collar Investigations
This article discusses the practical and policy reasons for the use of DPAs and NPAs in white-collar criminal investigations, and considers the NDAA's new reporting provision and its relationship with other efforts to enhance transparency in DOJ decision-making.
Bankruptcy Sales: Finding a Diamond In the Rough
There is no efficient market for the sale of bankruptcy assets. Inefficient markets yield a transactional drag, potentially dampening the ability of debtors and trustees to maximize value for creditors. This article identifies ways in which investors may more easily discover bankruptcy asset sales.
A Lawyer's System for Active Reading
Active reading comprises many daily tasks lawyers engage in, including highlighting, annotating, note taking, comparing and searching texts. It demands more than flipping or turning pages.