Deck 8: Business Crime

Question 1

Corporate officers cannot invoke the Fifth Amendment for a corporation.

Answer 1

True

Question 2

Electronic eavesdropping is not a crime.

Answer 2

True

Question 3

RICO applies only to corporations.

Answer 3

False

Question 4

The Sixth Amendment is the right-to-speedy trial amendment.

Question 5

"Taking the Fifth" refers to the Fifth Amendment protection against self-incrimination.

Question 6

The exceptions for obtaining warrants include evidence in "plain view."

Question 7

Probable cause is required only for warrantless searches.

Question 8

Economic pressure is generally not a reason for corporate crime.

Question 9

Predicate offenses under RICO are theft, burglary, and arson.

Question 10

Embezzlement is theft by an employee.

Question 11

Criminal fraud is the same as contract fraud.

Question 12

The omnibus hearing is held before the preliminary hearing.

Question 13

The failure to give Miranda warnings is fatal to a case.

Question 14

Intrabusiness crime is internal or employee crime.

Question 15

Mens rea is the particular mental state required to establish a crime.

Question 16

The Fourth Amendment is the Miranda warning amendment.

Question 17

RICO is a federal criminal statute.

Question 18

The defendant enters his/her plea at the arraignment.

Question 19

Some crimes do not carry a mens rea requirement.

Question 20

Directors are liable for a crime if the corporation is found guilty of the crime.

Question 21

Under the sentencing guidelines the Justice Department can agree to a non-prosecution agreement (NPA), but not to a deferred-prosecution agreement (DPA).

Question 22

A preliminary hearing requires that the defendant take the stand.

Question 23

Voluntary reporting of criminal violations reduces a company's fines under the federal sentencing guidelines.

Question 24

The USA Patriot Act requires those handling large sums of cash to verify the sources of those funds.

Question 25

Bribery is an ethical violation, but is not a crime.

Question 26

A willful violation of OSHA carries a possible one year prison sentence.

Question 27

Employee protection against retaliation for reporting activities is a critical part of crime prevention under U.S. guidelines.

Question 28

The failure to follow crime prevention programs can result in harsher sentences under the U.S. corporate sentencing guidelines.

Question 29

Plea bargaining is done only before the arraignment.

Question 30

The corporate sentencing guidelines provide a mathematical formula for determination of corporate sentences for crimes.

Question 31

Bond or bail is established at the initial appearance.

Question 32

In punishments for corporate criminal cases, shame punishment is increasing.

Question 33

Corporate officers are not liable for acts delegated to subordinates.

Question 34

Involvement of the top officers in corporate crimes increases the penalty under the U.S. sentencing guidelines.

Question 35

Under RICO, business owners can be criminally liable for violations even though they were not directly running the business.

Question 36

Mens rea can be established without a confession.

Question 37

The "culpability multiplier" is part of the U.S. sentencing guidelines.

Question 38

An employee who is following orders cannot be held liable for any criminal charges that result from that conduct.

Question 39

Commercial bribery is only criminal for the recipient.

Question 40

RICO applies only to repeat offenders.

Question 41

The purpose of an omnibus hearing is to:

A) issue an indictment.
B) issue an information.
C) hear evidentiary challenges.
D) have the defendant enter a plea.

Question 42

The mens rea required for theft is:

A) intent to take the property permanently.
B) intent to borrow the property.
C) general intent to commit a crime.
D) none - strict liability crime.
E) none of the above

Question 43

Exceptions to the warrant requirement include:

A) RICO violations.
B) plain view doctrine.
C) no available magistrate.
D) records under the FCPA.

Question 44

An indictment is:

A) a document issued by the grand jury.
B) issued after a preliminary hearing.
C) followed by an information.
D) none of the above

Question 45

Which of the following is not a requirement of mens rea?

A) a specific act
B) the state of mind required for the crime
C) the intent to deprive
D) All of the above are required for mens rea.

Question 46

Monitors are not permitted to have daily access to a corporation.

Question 47

The Fourth Amendment:

A) is the privacy protection amendment.
B) provides the right for a jury trial.
C) provides the protection against self-incrimination.
D) none of the above

Question 48

The White-Collar Criminal Penalty Act of 2002 is known as the King Pin Act.

Question 49

SOX is the shorthand for the Sarbanes-Oxley business crime legislation.

Question 50

Embezzlement is:

A) theft by an employee.
B) a crime that does not require proof of intent.
C) a crime that can occur when property is borrowed.
D) none of the above

Question 51

The omnibus hearing is:

A) the same as the preliminary hearing.
B) held before trial to determine evidentiary issues.
C) held after trial.
D) none of the above

Question 52

RICO applies to:

A) only interstate businesses.
B) officers but not directors.
C) buyers of businesses.
D) all criminal activity.
E) none of the above

Question 53

Monitors are often required by the Justice Department as part of a settlement of charges of corporate violations of criminal law.

Question 54

What is the distinction between theft and embezzlement?

A) the mens rea is different
B) the amount taken
C) the entrustment of the property
D) They are the same crime.

Question 55

The Miranda warnings:

A) must be given or the case is dismissed.
B) are based on Fifth Amendment rights.
C) are based on Fourth Amendment rights.
D) none of the above

Question 56

Predicate offenses under RICO include:

A) gambling.
B) bribery.
C) extortion.
D) a and c only
E) all of the above

Question 57

Most RICO charges involve:

A) mail fraud, wire fraud or securities fraud.
B) organized crime.
C) wage tax violations.
D) individuals and not companies.

Question 58

In criminal procedure, the initial appearance:

A) is the preliminary hearing.
B) is where bail is set.
C) follows the grand jury proceedings.
D) is where a plea is entered.

Question 59

The Fifth Amendment:

A) affords protection against self-incrimination.
B) can be used by a corporation.
C) can be used by officers to prevent disclosure of corporate records.
D) none of the above

Question 60

In order to establish criminal liability of the directors of a corporation:

A) a prosecutor need only establish that the corporation committed a crime.
B) a prosecutor must establish that the directors had criminal intent.
C) the corporation is liable for criminal acts but the directors are not liable.
D) none of the above

Question 61

The purpose of the initial appearance is to:

A) issue an indictment against the defendant.
B) set the terms of release (if any).
C) allow the judge to issue an information.
D) provide the defendant with the opportunity to appear before the grand jury.

Question 62

According to Arizona v. Gant, police officers:

A) may not serach a vehicle when the owner is present.
B) may search a vehicle with the driver's permission or with a warrant.
C) may search a vehicle only with a warrant.
D) may no longer search vehicles because it is an invasion of privacy.

Question 63

The purpose of an arraignment is to:

A) issue an indictment against the defendant.
B) set the trial date.
C) provide the defendant with the opportunity to appear before the grand jury.
D) ensure that the Miranda warnings are given.

Question 64

Which of the following would mitigate an officer's or corporation's sentence under the corporate sentencing guidelines?

A) officer had no direct knowledge; he/she was only the supervising manager
B) the company had an ethics training program
C) subordinates failed to follow orders
D) subordinates were demoted for questioning decisions

Question 65

The Fifth Amendment protections:

A) apply to corporations.
B) can be used by officers of a corporation to prevent disclosure of corporate records.
C) can be used by officers of a corporation to prevent disclosure of corporate records that incriminate them.
D) none of the above

Question 66

Mens rea is:

A) the actual criminal act.
B) not required for proof of a crime.
C) only required for common-law crimes.
D) none of the above

Question 67

Which of the following is not an element of the crime of embezzlement?

A) intent to take property
B) taking property permanently
C) no authorization to take the property
D) All of the above are elements of embezzlement.

Question 68

Which of the following will reduce a corporation's sentence under the U.S. Sentencing Guidelines?

A) having a code of ethics
B) having ethics training
C) having ethics hotline
D) All of these can reduce a corporation's sentence.

Question 69

The Money Laundering Control Act:

A) applied only to financial institutions.
B) prohibited concealing or disguising sources of funds.
C) both a and b
D) none of the above

Question 70

"Taking the Fifth" means:

A) refusing to allow a search of your office.
B) refusing to turn over corporate documents.
C) refusing to testify to prevent self-incrimination.
D) demanding a search warrant.

Question 71

Which is the new crime created by Sarbanes-Oxley?

A) mail fraud
B) obstruction of justice
C) certification of false financial statements
D) both a and b

Question 72

The FBI has developed new technology that enables it to listen to conversations in homes from vans parked in the street outside the homes. While listening to conversations in one neighborhood, the FBI uncovers a meth lab. Agents move in and arrest those in the home without a warrant. Under the Kyllo case:

A) the FBI is not required to have a warrant because the information was uncovered without invading the house.
B) the FBI is not required to have a warrant because the information was uncovered from outside the private property of the individuals involved.
C) the FBI is required to have a warrant in order to listen to the conversations.
D) the FBI needs a warrant to listen only if it is going to arrest someone.
E) none of the above

Question 73

The Fourth Amendment protections:

A) apply to individuals.
B) do not apply to corporations.
C) do not apply to corporate officers.
D) all of the above

Question 74

The failure to give the Miranda warnings:

A) is a problem only if the defendant is in jail.
B) will result in a dismissal of all charges.
C) is a problem only if the defendant is in custody.
D) none of the above

Question 75

Which of the following is not an exception to the Fourth Amendment search warrant requirement?

A) a search of a burning building
B) a search of an area in plain view
C) an inspection of a factory for safety violations
D) All of the above are exceptions to the warrant requirement.

Question 76

At which of the following procedures may a defendant present evidence?

A) initial appearance
B) trial
C) grand jury
D) appeal

Question 77

Which of the following is not an element of criminal fraud?

A) a false material statement
B) reliance by the buyer
C) a mistake by the seller or the intent to mislead
D) All of the above are elements.

Question 78

Which of the following would be the crime of obstruction of justice?

A) making a false entry
B) certification of financial statements
C) destroying e-mails
D) both a and c

Question 79

Joan owns a citrus tree farm near Mesa, Arizona. Joan and her family have fertilized the trees each spring for 52 years. The irrigation for the trees carries the fertilizer remnants into the Salt River. When EPA investigators discover the fertilizer in the Salt River and trace the unique brand to Joan, they indict her for violation of the Clean Water Act, for the discharge of a substance into a waterway. Joan responds, "I didn't know there was fertilizer. I was just letting water flow."

A) Joan has sufficient mens rea for the crime.
B) Joan can rely on the Ahmad case and escape criminal liability.
C) Joan can be held criminally liable for negligence.
D) none of the above

Question 80

The USA Patriot Act:

A) has been declared unconstitutional.
B) expanded the Money Laundering Control Act.
C) applies only to banks.
D) none of the above