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NY State White Collar Enforcement for the 21st Century
The State of New York has a long and distinguished history of criminal prosecution of white-collar crime. More than a decade before the enactment of the Securities and Exchange Act of 1934, for example, New York passed the Martin Act to attack securities fraud schemes. In the 1930s, Manhattan District Attorney Thomas E. Dewey both prosecuted New York Stock Exchange President Richard Whitney for what was then a massive embezzlement, and conducted the bribery investigation that ultimately led to the federal indictment and incarceration of the Chief Judge of the U.S. Court of Appeals for the Second Circuit. More recently, former District Attorney Robert M. Morgenthau was famous for his enthusiastic attacks on fraud of all kinds.
But over the last several decades, the federal government has moved ahead of New York in attacking the problem of white-collar crime. Congress and other policymakers, prompted by financial scandals too numerous to mention, have joined the fray, enacting new policies, laws, and regulations designed to combat ever-changing scams that are enabled by technological advances and limited only by human ingenuity. In the 1990s, for example, the United States Sentencing Guidelines were criticized as too lenient on fraud crimes. After a five-year study ending in 2001, the Sentencing Commission modified the guidelines to strengthen sentences for financial crimes.
Congress, of course, has enacted dozens of laws over the years, including the Sarbanes-Oxley Act, which, among many other things, created a new Title 18 crime of securities fraud, strengthened obstruction of justice laws, and increased penalties for mail and wire fraud. And the 2009 enactment of the Dodd-Frank Act led the Sentencing Commission once again to amend the guidelines in various ways, including with respect to insider trading.
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