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United States v. Hoskins

United States Court of Appeals for the Second Circuit

March 2, 2017, Argued; August 24, 2018, Decided

Docket No. 16-1010-cr

Opinion

 [*71]  POOLER, Circuit Judge:

In this case, we are asked to decide whether the government may employ theories of conspiracy or complicity to charge a defendant with violating the Foreign Corrupt Practices Act ("FCPA"), even if he is not in the category of persons directly covered by the statute.2 We determine that ] the FCPA defined precisely the categories of persons who may be charged for violating its provisions. The statute also stated clearly the extent of its extraterritorial application.

] The FCPA establishes three clear categories of persons who are covered by its provisions: (1) Issuers of securities registered pursuant to 15 U.S.C. § 78l or required to file reports under Section 78o(d), or any officer, director, employee, or agent of such issuer, or any stockholder acting on behalf of the issuer, using interstate commerce in connection with the payment of bribes, 15 U.S.C. § 78dd-1; (2) American companies and American persons using interstate commerce in connection with the payment of bribes, 15 U.S.C. § 78dd-2; and (3) foreign persons or businesses taking acts to further certain corrupt [**4]  schemes, including ones causing the payment of bribes, while present in the United States, 15 U.S.C. § 78dd-3.

Because we agree with the district court that the FCPA's carefully-drawn limitations do not comport with the government's  [*72]  use of the complicity or conspiracy statutes in this case, we AFFIRM the district court's ruling barring the government from bringing the charge in question. We REVERSE the district court's holding on the Second Object of the Conspiracy, because the government's intention to prove that Hoskins was an agent of a domestic concern places him squarely within the terms of the statute and takes that provision outside our analysis on the other counts.

BACKGROUND

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902 F.3d 69 *; 2018 U.S. App. LEXIS 23963 **

UNITED STATES OF AMERICA, Appellant, v. LAWRENCE HOSKINS, Defendant - Appellee.1

Subsequent History: As Corrected August 24, 2018.

Prior History:  [**1] In this interlocutory appeal from a district court's dismissal of part of one count in a multi-count indictment, we are asked to decide whether the government may employ theories of conspiracy or complicity to charge a defendant with violating the Foreign Corrupt Practices Act ("FCPA"), even if he is not in the categories of persons directly covered by the statute.

We first decide that we have jurisdiction over the appeal under 18 U.S.C. § 3731. That statute, as amended, permits interlocutory appeals by the government when a part of a count of an indictment is dismissed.

We then address the merits of the district court's dismissal of the government's FCPA charges. We determine that the FCPA defines precisely the categories of persons who may be charged for violating its provisions. The statute also states clearly the extent of its extraterritorial application. Because we agree with the district court that the FCPA's carefully-drawn limitations do not comport with the government's use of the complicity or conspiracy statutes in this case, we AFFIRM the district court's ruling barring the government from bringing the charge in question. We REVERSE the district court's holding on the Second Object of the [**2]  Conspiracy, because the government's intention to prove that Hoskins was an agent of a domestic concern places him squarely within the terms of the statute and takes that provision outside our analysis on the other counts.

United States v. Hoskins, 123 F. Supp. 3d 316, 2015 U.S. Dist. LEXIS 106802 (D. Conn., Aug. 13, 2015)United States v. Hoskins, 73 F. Supp. 3d 154, 2014 U.S. Dist. LEXIS 177789 (D. Conn., Dec. 29, 2014)

Disposition: Affirmed in part and Reversed in part.

CORE TERMS

conspiracy, bribe, extraterritorial, foreign national, complicity, bribery, conspiring, employees, indictment, issuer, transportation, woman, domestic concern, violations, Mann Act, cases, territory, domestic, principles, provisions, district court, abroad, legislative policy, stockholder, accomplice, common-law, aiding and abetting, appeals, charges, counts

Business & Corporate Compliance, Recordkeeping & Reporting Requirements, Issuers of Securities, Foreign Corrupt Practices Act, Criminal Law & Procedure, Appeals, Appellate Jurisdiction, Interlocutory Appeals, Appellate Jurisdiction, Accessories, Aiding & Abetting, Inchoate Crimes, Conspiracy, Elements, Governments, Legislation, Interpretation, Effect & Operation