CHAPTER 47 —FRAUD AND FALSE STATEMENTS
Amendments
1994—
1990—
1989—
1988—
1984—
1982—
1974—
1967—
1962—
1951—Act Oct. 31, 1951, ch. 655, §25,
1949—Act May 24, 1949, ch. 139, §§18, 19,
Cross References
Alien registration, fraud and false statements, see
Carriers' reports to Interstate Commerce Commission, false entries, see
China Trade, false or fraudulent statements prohibited, see
Chapter Referred to in Other Sections
This chapter is referred to in title 7 section 12a; title 15 sections 78o, 80b–3; title 29 section 1031.
§1001. Statements or entries generally
Whoever, in any matter within the jurisdiction of any department or agency of the United States knowingly and willfully falsifies, conceals or covers up by any trick, scheme, or device a material fact, or makes any false, fictitious or fraudulent statements or representations, or makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry, shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §80 (Mar. 4, 1909, ch. 321, §35,
The provision relating to false claims was incorporated in
Reference to persons causing or procuring was omitted as unnecessary in view of definition of "principal" in
Words "or any corporation in which the United States of America is a stockholder" in said section 80 were omitted as unnecessary in view of definition of "agency" in
In addition to minor changes of phraseology, the maximum term of imprisonment was changed from 10 to 5 years to be consistent with comparable sections. (See reviser's note under
Amendments
1994—
Short Title of 1994 Amendment
Section 290001(a) of
Short Title of 1990 Amendment
Short Title of 1989 Amendment
Short Title of 1988 Amendment
Short Title of 1986 Amendment
Short Title of 1984 Amendment
Short Title of 1982 Amendment
Section 1 of
Canal Zone
Applicability of section to Canal Zone, see
Cross References
Conspiracy to defraud Government in regard to false claims, see
Conspiracy to defraud United States, see
False claims for pensions, see
False claims for postal losses, see
False entry or certificate by revenue officer or agent, see
Falsification of postal returns to increase compensation, see
Fraudulent claims, generally, see
National Science Foundation scholarships or fellowships, applicability of section to loyalty affidavits, see
Passports, false statements in application, see
Patent declaration in lieu of oath; warning in document of punishment for willful false statements and the like under this section, see
Public buildings, section as applicable to statements by contractors, see
Section Referred to in Other Sections
This section is referred to in
§1002. Possession of false papers to defraud United States
Whoever, knowingly and with intent to defraud the United States, or any agency thereof, possesses any false, altered, forged, or counterfeited writing or document for the purpose of enabling another to obtain from the United States, or from any agency, officer or agent thereof, any sum of money, shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §74 (Mar. 4, 1909, ch. 321, §30,
Words "or any agency thereof" after "United States" and word "agency" after "any" and before "officer," were inserted to eliminate any possible ambiguity as to scope of section. (See definition of "agency" in
The maximum fine of "$10,000" was substituted for "$500" in order to conform punishment provisions to those of comparable sections. (See
Minor verbal change was made.
Amendments
1994—
Cross References
Contracts, deeds, and powers of attorney, see
§1003. Demands against the United States
Whoever knowingly and fraudulently demands or endeavors to obtain any share or sum in the public stocks of the United States, or to have any part thereof transferred, assigned, sold, or conveyed, or to have any annuity, dividend, pension, wages, gratuity, or other debt due from the United States, or any part thereof, received, or paid by virtue of any false, forged, or counterfeited power of attorney, authority, or instrument, shall be fined under this title or imprisoned not more than five years, or both; but if the sum or value so obtained or attempted to be obtained does not exceed $100, he shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §79 (Mar. 4, 1909, ch. 321, §34,
Words "prize money" were deleted on the ground that they are an anachronism and were so before 1909. (See reviser's note under
Mandatory punishment provision was rephrased in the alternative.
The smaller punishment for an offense involving $100 or less was added. (See reviser's note to
The maximum term of "five years" was substituted for "ten years" and "$10,000" was substituted for "$5,000" as being more in harmony with punishment provision of similar sections. (See reviser's note under
Minor changes in phraseology were made.
Amendments
1994—
§1004. Certification of checks
Whoever, being an officer, director, agent, or employee of any Federal Reserve bank, member bank of the Federal Reserve System, insured bank (as defined in section 3(h) of the Federal Deposit Insurance Act), branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or organization operating under section 25 or section 25(a) 1 of the Federal Reserve Act, certifies a check before the amount thereof has been regularly deposited in the bank, branch, agency, or organization, by the drawer thereof, or resorts to any device, or receives any fictitious obligation, directly or collaterally, in order to evade any of the provisions of law relating to certification of checks, shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Words "be deemed guilty of a misdemeanor and shall" were omitted as unnecessary in view of definition of misdemeanor in
Words "on conviction thereof" were omitted as surplusage, because punishment cannot be imposed until after conviction.
Words "in any district court of the United States" were omitted as unnecessary, because
Changes were made in phraseology.
References in Text
Section 3(h) of the Federal Deposit Insurance Act, referred to in text, is classified to
Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to
Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (§601 et seq.) of
Amendments
1994—
1990—
Cross References
Liability of Federal Reserve or member bank for certifying check when amount of deposit was inadequate, see
1 See References in Text note below.
§1005. Bank entries, reports and transactions
Whoever, being an officer, director, agent or employee of any Federal Reserve bank, member bank, depository institution holding company, national bank, insured bank, branch or agency of a foreign bank, or organization operating under section 25 or section 25(a) 1 of the Federal Reserve Act,,2 without authority from the directors of such bank, branch, agency, or organization or company, issues or puts in circulation any notes of such bank, branch, agency, or organization or company; or
Whoever, without such authority, makes, draws, issues, puts forth, or assigns any certificate of deposit, draft, order, bill of exchange, acceptance, note, debenture, bond, or other obligation, or mortgage, judgment or decree; or
Whoever makes any false entry in any book, report, or statement of such bank, company, branch, agency, or organization with intent to injure or defraud such bank, company, branch, agency, or organization, or any other company, body politic or corporate, or any individual person, or to deceive any officer of such bank, company, branch, agency, or organization, or the Comptroller of the Currency, or the Federal Deposit Insurance Corporation, or any agent or examiner appointed to examine the affairs of such bank, company, branch, agency, or organization, or the Board of Governors of the Federal Reserve System; 3
Whoever with intent to defraud the United States or any agency thereof, or any financial institution referred to in this section, participates or shares in or receives (directly or indirectly) any money, profit, property, or benefits through any transaction, loan, commission, contract, or any other act of any such financial institution—
Shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both.
As used in this section, the term "national bank" is synonymous with "national banking association"; "member bank" means and includes any national bank, state bank, or bank or trust company, which has become a member of one of the Federal Reserve banks; "insured bank" includes any state bank, banking association, trust company, savings bank, or other banking institution, the deposits of which are insured by the Federal Deposit Insurance Corporation; and the term "branch or agency of a foreign bank" means a branch or agency described in
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
(See reviser's note under
In this section, national bank receivers and Federal reserve agents were not included in the initial enumeration of persons at whom the act is directed, since the provisions of this section, unlike
No changes of meaning or substance were made, except that, like said
The words "shall be deemed guilty of a misdemeanor" were omitted as unnecessary in view of the definition of a misdemeanor in
The words "and upon conviction thereof" were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured.
Since
References in Text
Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (§601 et seq.) of
Section 3(w)(1) of the Federal Deposit Insurance Act, referred to in text, is classified to
Amendments
1990—
1989—
Exception as to Transfer of Functions
Functions vested by any provision of law in Comptroller of the Currency, referred to in this section, were not included in transfer of functions of officers, agencies and employees of Department of the Treasury to Secretary of the Treasury, made by Reorg. Plan No. 26 of 1950, §1, eff. July 31, 1950, 15 F.R. 4935,
Cross References
Bank examinations, see
Federal Reserve System, laws applicable on becoming member bank, see
Liability of directors and officers of member banks, see
Officers and employees of government, false entries and reports of moneys or securities, see
Reports to Comptroller of the Currency, see
Section Referred to in Other Sections
This section is referred to in
1 See References in Text note below.
3 So in original. Probably should be followed by "or".
§1006. Federal credit institution entries, reports and transactions
Whoever, being an officer, agent or employee of or connected in any capacity with the Federal Deposit Insurance Corporation, National Credit Union Administration, Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board, the Resolution Trust Corporation, Farm Credit Administration, Department of Housing and Urban Development, Federal Crop Insurance Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, or the Farm Credit System Insurance Corporation, a Farm Credit Bank, a bank for cooperatives or any lending, mortgage, insurance, credit or savings and loan corporation or association authorized or acting under the laws of the United States or any institution, other than an insured bank (as defined in section 656), the accounts of which are insured by the Federal Deposit Insurance Corporation, or by the National Credit Union Administration Board or any small business investment company, with intent to defraud any such institution or any other company, body politic or corporate, or any individual, or to deceive any officer, auditor, examiner or agent of any such institution or of department or agency of the United States, makes any false entry in any book, report or statement of or to any such institution, or without being duly authorized, draws any order or bill of exchange, makes any acceptance, or issues, puts forth or assigns any note, debenture, bond or other obligation, or draft, bill of exchange, mortgage, judgment, or decree, or, with intent to defraud the United States or any agency thereof, or any corporation, institution, or association referred to in this section, participates or shares in or receives directly or indirectly any money, profit, property, or benefits through any transaction, loan, commission, contract, or any other act of any such corporation, institution, or association, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
1948 Act
Based on
Each of the eleven sections from which this section was derived contained similar provisions relating to embezzlement, false entries, and fraudulent issuance or assignment of obligations with respect to one or more named agencies or corporations.
These were divided and the false entry and fraudulent issuance or assignment of obligation provisions of all, form the basis of this section. The remaining provisions of each section, relating to embezzlement and misapplication, form the basis for
Each revised section condenses and simplifies the constituent provisions without change of substance except as herein indicated.
The punishment provisions in each section were the same except that in
References to persons aiding or abetting contained in
The term "receiver," used in
The term "or of any department or agency of the United States" was inserted in order to clarify the sweeping provisions against fraudulent acts and to eliminate any possible ambiguity as to scope of section. (See definitions of "department" and "agency" in
Words "shall be deemed guilty of a misdemeanor", contained in
Words "and upon conviction", contained in
Words "in any district court of the United States", contained in
The conspiracy provisions of
1949 Act
[Section 20] conforms
Amendments
1994—
1990—
1989—
1970—
1967—
1961—
1958—
1956—Act July 28, 1956, included officers, agents or employees of or connected in any capacity with any institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation.
1949—Act May 24, 1949, inserted reference Secretary of Agriculture acting through the Farmers' Home Administration.
Exceptions From Transfer of Functions
Functions of Corporations of Department of Agriculture, boards of directors and officers of such corporations, Advisory Board of Commodity Credit Corporation, and Farm Credit Administration or any agency, officer or entity of, under, or subject to supervision of said Administration excepted from functions of officers, agencies, and employees transferred to Secretary of Agriculture by Reorg. Plan No. 2 of 1953, §1, eff. June 4, 1953, 18 F.R. 3219,
National Credit Union Administration
Establishment as independent agency, membership etc., see
Farm Credit Administration
Establishment of Farm Credit Administration as independent agency, and other changes in status, function, etc., see Ex. Ord. No. 6084, set out prec.
Cross References
Financial control of government corporations, see
Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal Deposit Insurance Corporation, Federal land banks, joint-stock land banks and national farm loan associations are concerned, see
Section Referred to in Other Sections
This section is referred to in
§1007. Federal Deposit Insurance Corporation transactions
Whoever, for the purpose of influencing in any way the action of the Federal Deposit Insurance Corporation, knowingly makes or invites reliance on a false, forged, or counterfeit statement, document, or thing shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Words "Federal Deposit Insurance" were inserted before "Corporation" in three places, so as to identify said Corporation, and phrase "under this section" was omitted as no longer applicable, considering transfer of this section to this title.
Minor changes were made in phraseology.
Amendments
1994—
1990—
1989—
Cross References
Secret Service, detection, arrest and delivery into custody of any person violating this section, see
Section Referred to in Other Sections
This section is referred to in
[§§1008, 1009. Repealed. Pub. L. 101–73, title IX, §§961(g)(1), 962(a)(3), Aug. 9, 1989, 103 Stat. 500 , 502]
Section 1008, act June 25, 1948, ch. 645,
Section 1009, act June 25, 1948, ch. 645,
§1010. Department of Housing and Urban Development and Federal Housing Administration transactions
Whoever, for the purpose of obtaining any loan or advance of credit from any person, partnership, association, or corporation with the intent that such loan or advance of credit shall be offered to or accepted by the Department of Housing and Urban Development for insurance, or for the purpose of obtaining any extension or renewal of any loan, advance of credit, or mortgage insured by such Department, or the acceptance, release, or substitution of any security on such a loan, advance of credit, or for the purpose of influencing in any way the action of such Department, makes, passes, utters, or publishes any statement, knowing the same to be false, or alters, forges, or counterfeits any instrument, paper, or document, or utters, publishes, or passes as true any instrument, paper, or document, knowing it to have been altered, forged, or counterfeited, or willfully overvalues any security, asset, or income, shall be fined under this title or imprisoned not more than two years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Reference to persons causing or procuring was omitted as unnecessary in view of definition of "principal" in
"$5,000" was substituted for "$3,000" to make this section more consistent in its punishment provisions with comparable sections. (See
Minor changes in phraseology were made.
Amendments
1994—
1967—
§1011. Federal land bank mortgage transactions
Whoever, being a mortgagee, knowingly makes any false statement in any paper, proposal, or letter, relating to the sale of any mortgage, to any Federal land bank; or
Whoever, being an appraiser, willfully over-values any land securing such mortgage—
Shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Minor changes were made in phraseology.
Amendments
1994—
Cross References
Secret Service, detection, arrest and delivery into custody of any person violating this section, see
Section Referred to in Other Sections
This section is referred to in
§1012. Department of Housing and Urban Development transactions
Whoever, with intent to defraud, makes any false entry in any book of the Department of Housing and Urban Development or makes any false report or statement to or for such Department; or
Whoever receives any compensation, rebate, or reward, with intent to defraud such Department or with intent unlawfully to defeat its purposes; or
Whoever induces or influences such Department to purchase or acquire any property or to enter into any contract and willfully fails to disclose any interest which he has in such property or in the property to which such contract relates, or any special benefit which he expects to receive as a result of such contract—
Shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Three sections were consolidated with changes of phraseology and arrangement necessary to effect consolidation.
Words "upon conviction thereof", in each section were omitted as surplusage since punishment cannot be imposed until after conviction.
The provisions of
Amendments
1994—
1967—
1951—Act Oct. 31, 1951, substituted "Public Housing Administration" for "United States Housing Authority" in section catchline and text, and "Administration" for "Authority", wherever appearing in text.
Cross References
Low-rent housing, see
§1013. Farm loan bonds and credit bank debentures
Whoever deceives, defrauds, or imposes upon, or attempts to deceive, defraud, or impose upon any person, partnership, corporation, or association by making any false pretense or representation concerning the character, issue, security, contents, conditions, or terms of any farm loan bond, or coupon, issued by any Federal land bank or banks; or of any debenture, coupon, or other obligation, issued by any Federal intermediate credit bank or banks; or by falsely pretending or representing that any farm loan bond, or coupon, is anything other than, or different from, what it purports to be on the face of said bond or coupon, shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
This section condenses and simplifies
References to "chapter" and "subchapter" were omitted and words describing the various types of banks or organizations to which said
Words "upon conviction" which were contained in
Changes were made in phraseology.
Amendments
1994—
1982—
Cross References
Compromise, adjustment or cancellation of farm indebtedness, false statements, see
Secret Service, arrest, detection and delivery into custody of any person violating this section in so far as Federal land banks and joint-stock land banks are concerned, see
Spurious advertising or representations as to Federal farm loans and bonds, see
Section Referred to in Other Sections
This section is referred to in
§1014. Loan and credit applications generally; renewals and discounts; crop insurance
Whoever knowingly makes any false statement or report, or willfully overvalues any land, property or security, for the purpose of influencing in any way the action of the Reconstruction Finance Corporation, Farm Credit Administration, Federal Crop Insurance Corporation or a company the Corporation reinsures, Farmers' Home Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, any Farm Credit Bank, production credit association, agricultural credit association, bank for cooperatives, or any division, officer, or employee thereof, or of any regional agricultural credit corporation established pursuant to law, or of the National Agricultural Credit Corporation, a Federal land bank, a Federal land bank association, a Federal Reserve bank, a small business investment company, a Federal credit union, an insured State-chartered credit union, any institution the accounts of which are insured by the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board, the Federal Deposit Insurance Corporation, the Resolution Trust Corporation, the Farm Credit System Insurance Corporation, or the National Credit Union Administration Board, a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or an organization operating under section 25 or section 25(a) 1 of the Federal Reserve Act,,2 upon any application, advance, discount, purchase, purchase agreement, repurchase agreement, commitment, or loan, or any change or extension of any of the same, by renewal, deferment of action or otherwise, or the acceptance, release, or substitution of security therefor, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
1948 Act
Based on
Each of the 13 sections from which this section was derived contained similar provisions either relating to false representations and statements, or overvaluation of security, with respect to one or more of the named banks, agencies, or corporations.
These were consolidated and the false statement and security overvaluation provisions of all, form the basis of this section. The provisions of
Eight of the consolidated sections contained identical punishment, each providing for a maximum fine of $5,000 and maximum imprisonment of 2 years. Two sections provided for a maximum fine of $10,000 and maximum imprisonment of 5 years. One section provided for maximum fine of $5,000 and maximum imprisonment of 5 years, one section provided for maximum fine of $2,000 and maximum imprisonment of 2 years, and one section provided for maximum fine of $5,000 and maximum imprisonment of 1 year.
The punishment by maximum fine of $5,000 or maximum imprisonment of 2 years, or both, provided in this consolidated section was adopted as most consistent with the greater number of comparable sections. (See
The enumeration of "application, advance, discount, purchase, purchase agreement, repurchase agreement, commitment, or loan" and the wording "or any change or extension of any of the same, by renewal, deferment of action or otherwise, or the acceptance, release, or substitution of security therefor" does not occur in any one of the original sections, but such enumeration and such wording are adequate, and they represent a composite of terms and transactions mentioned in each.
In addition, changes were made in phraseology to secure uniformity of style, and some rephrasing was necessary, but the consolidation was without change of substance except as above indicated.
1949 Act
[Section 21] conforms
References in Text
Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to
Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (§601 et seq.) of
Amendments
1994—
1990—
1989—
1982—
1970—
1964—
1961—
1959—
1958—
1956—Act July 26, 1956, struck out reference to corporations in which a Production Credit Corporation holds stock.
1949—Act May 24, 1949, inserted reference to Secretary of Agriculture acting through the Farmers' Home Administration.
Effective Date of 1994 Amendment
Amendment by
Effective Date of 1959 Amendment
Amendment by
Effective Date of 1956 Amendment
Amendment by act July 26, 1956, effective Jan. 1, 1957, see section 202(a) of that act, set out as an Effective Date note under
Abolition of Reconstruction Finance Corporation
Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633,
Farm Credit Administration
Establishment of Farm Credit Administration as independent agency, and other changes in status, function, etc., see Ex. Ord. No. 6084 set out prec.
Abolition of Farmers' Home Corporation
Farmers' Home Corporation, created as an agency within the Department of Agriculture by
National Credit Union Administration
Establishment as independent agency, membership, etc., see
Cross References
Compromise, adjustment or cancellation of farm indebtedness, false statements, see
Liability of directors and officers of member banks, see
Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal land banks, joint-stock land banks and national farm loan associations are concerned, see
Section Referred to in Other Sections
This section is referred to in
1 See References in Text note below.
§1015. Naturalization, citizenship or alien registry
(a) Whoever knowingly makes any false statement under oath, in any case, proceeding, or matter relating to, or under, or by virtue of any law of the United States relating to naturalization, citizenship, or registry of aliens; or
(b) Whoever knowingly, with intent to avoid any duty or liability imposed or required by law, denies that he has been naturalized or admitted to be a citizen, after having been so naturalized or admitted; or
(c) Whoever uses or attempts to use any cer-tificate of arrival, declaration of intention, certificate of naturalization, certificate of citizenship or other documentary evidence of naturalization or of citizenship, or any duplicate or copy thereof, knowing the same to have been procured by fraud or false evidence or without required appearance or hearing of the applicant in court or otherwise unlawfully obtained; or
(d) Whoever knowingly makes any false cer-tificate, acknowledgment or statement concerning the appearance before him or the taking of an oath or affirmation or the signature, attestation or execution by any person with respect to any application, declaration, petition, affidavit, deposition, certificate of naturalization, certificate of citizenship or other paper or writing required or authorized by the laws relating to immigration, naturalization, citizenship, or registry of aliens—
Shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on subsections (a), paragraphs (1), (16), (17), (19), (32), (b), (d), and (l) of
Section consolidates, with minor changes, subsection (a), paragraphs (1), (16), (17), (19), (32), and subsections (b), (d), and (l), of
Such changes of arrangement and phraseology were made as were appropriate and necessary.
Amendments
1994—
Cross References
Immigration and Nationality, see
§1016. Acknowledgment of appearance or oath
Whoever, being an officer authorized to administer oaths or to take and certify acknowledgments, knowingly makes any false acknowledgment, certificate, or statement concerning the appearance before him or the taking of an oath or affirmation by any person with respect to any proposal, contract, bond, undertaking, or other matter submitted to, made with, or taken on behalf of the United States or any department or agency thereof, concerning which an oath or affirmation is required by law or lawful regulation, or with respect to the financial standing of any principal, surety, or other party to any such proposal, contract, bond, undertaking, or other instrument, shall be fined under this title or imprisoned not more than two years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §75 (Mar. 4, 1909, ch. 321, §31,
Words "or of any department or agency thereof" were inserted after "United States" so as to remove any ambiguity as to scope of section. (See definitions of "department" and "agency" in
Amendments
1994—
§1017. Government seals wrongfully used and instruments wrongfully sealed
Whoever fraudulently or wrongfully affixes or impresses the seal of any department or agency of the United States, to or upon any certificate, instrument, commission, document, or paper or with knowledge of its fraudulent character, with wrongful or fraudulent intent, uses, buys, procures, sells, or transfers to another any such certificate, instrument, commission, document, or paper, to which or upon which said seal has been so fraudulently affixed or impressed, shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §130 (June 15, 1917, ch. 30, title X, §1,
To clarify scope of section and in view of definition of department or agency in
Slight verbal changes were also made.
Amendments
1994—
Canal Zone
Applicability of section to Canal Zone, see
Cross References
Jurisdiction of offenses under this section, see
Letters, writings, etc., in violation of this section as nonmailable, see
Section Referred to in Other Sections
This section is referred to in
§1018. Official certificates or writings
Whoever, being a public officer or other person authorized by any law of the United States to make or give a certificate or other writing, knowingly makes and delivers as true such a certificate or writing, containing any statement which he knows to be false, in a case where the punishment thereof is not elsewhere expressly provided by law, shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §195 (Mar. 4, 1909, ch. 321, §106,
Minor changes were made in phraseology.
Amendments
1994—
Cross References
False certificate by revenue officer or agent, see
§1019. Certificates by consular officers
Whoever, being a consul, or vice consul, or other person employed in the consular service of the United States, knowingly certifies falsely to any invoice, or other paper, to which his certificate is authorized or required by law, shall be fined under this title or imprisoned not more than three years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §127 (Mar. 4, 1909, ch. 321, §70,
Mandatory punishment provision was rephrased in the alternative.
Changes were made in phraseology.
Amendments
1994—
Cross References
Certification of invoices, see
§1020. Highway projects
Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the costs thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction of any highway or related project submitted for approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false representation, false report, or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false representation as to a material fact in any statement, certificate, or report submitted pursuant to the provisions of the Federal-Aid Road Act approved July 11, 1916 (
Shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Words "highway, or related," were inserted before "project" in two places for the purpose of description, in view of transfer from title 23.
Words "upon conviction thereof" were omitted as surplusage, because punishment cannot be imposed until a conviction is secured.
Changes in phraseology were made.
References in Text
The Federal-Aid Road Act approved July 11, 1916 (
Amendments
1994—
1966—
1954—Act May 6, 1954, substituted in second par. "with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction" for "for work or materials for the construction"; and in third par. substituted "as to a material fact in any statement, certificate, or report submitted pursuant to the provisions of the Federal-Aid Road Act approved July 11, 1916 (
1951—Act Oct. 31, 1951, substituted "Secretary of Commerce" for "Secretary of Agriculture" in first and second pars.
Effective Date of 1966 Amendment
Amendment by
Transfer of Functions
The Bureau of Public Roads, which is the principal road building agency of the Federal Government, and which was formerly under the Department of Agriculture, was redesignated the Public Roads Administration and, with its functions, transferred to the Federal Works Agency, and the functions of the Secretary of Agriculture, with respect thereto, were transferred to the Federal Works Administrator, by Reorg. Plan No. 1 of 1939, §§301, 302, eff. July 1, 1939, 4 F.R. 2727,
§1021. Title records
Whoever, being an officer or other person authorized by any law of the United States to record a conveyance of real property or any other instrument which by such law may be recorded, knowingly certifies falsely that such conveyance or instrument has or has not been recorded, shall be fined under this title or imprisoned not more than five years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §194 (Mar. 4, 1909, ch. 321, §105,
Words "five years" were substituted for "seven years" as more in conformity with comparable sections of this chapter.
Minor change was made in phraseology.
Amendments
1994—
§1022. Delivery of certificate, voucher, receipt for military or naval property
Whoever, being authorized to make or deliver any certificate, voucher, receipt, or other paper certifying the receipt of arms, ammunition, provisions, clothing, or other property used or to be used in the military or naval service, makes or delivers the same to any other person without a full knowledge of the truth of the facts stated therein and with intent to defraud the United States, or any agency thereof, shall be fined under this title or imprisoned not more than ten years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §84 (Mar. 4, 1909, ch. 321, §35,
Word "agency" was substituted for "department" so as to eliminate any possible ambiguity as to scope of section. (See definitions of "department" and "agency" in
Words "or any corporation in which the United States of America is a stockholder" were omitted as unnecessary in view of definition of "agency" in
Minor changes were made in phraseology.
Amendments
1994—
§1023. Insufficient delivery of money or property for military or naval service
Whoever, having charge, possession, custody, or control of any money or other public property used or to be used in the military or naval service, with intent to defraud the United States, or any agency thereof, or any corporation in which the United States has a proprietary interest, or intending to conceal such money or other property, delivers to any person having authority to receive the same any amount of such money or other property less than that for which he received a certificate or took a receipt, shall be fined under this title or imprisoned not more than ten years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §85 (Mar. 4, 1909, ch. 321, §35,
Word "agency" was substituted for "department" so as to eliminate any possible ambiguity as to scope of section. (See definitions of "department" and "agency" in
Reference to persons causing or procuring was omitted as unnecessary in view of definition of "principal" in
Minor changes were made in phraseology.
Amendments
1994—
§1024. Purchase or receipt of military, naval, or veteran's facilities property
Whoever purchases, or receives in pledge from any person any arms, equipment, ammunition, clothing, military stores, or other property furnished by the United States under a clothing allowance or otherwise, to any member of the Armed Forces of the United States or of the National Guard or Naval Militia, or to any person accompanying, serving, or retained with the land or naval forces and subject to military or naval law, or to any former member of such Armed Forces at or by any hospital, home, or facility maintained by the United States, having knowledge or reason to believe that the property has been taken from the possession of or furnished by the United States under such allowance, or otherwise, shall be fined under this title or imprisoned not more than two years, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on title 18, U.S.C., 1940 ed., §86 (Mar. 4, 1909, ch. 321, §35,
Minor changes were made in phraseology.
Amendments
1994—
Canal Zone
Applicability of section to Canal Zone, see
Section Referred to in Other Sections
This section is referred to in
§1025. False pretenses on high seas and other waters
Whoever, upon any waters or vessel within the special maritime and territorial jurisdiction of the United States, by any fraud, or false pretense, obtains from any person anything of value, or procures the execution and delivery of any instrument of writing or conveyance of real or personal property, or the signature of any person, as maker, endorser, or guarantor, to or upon any bond, bill, receipt, promissory note, draft, or check, or any other evidence of indebtedness, or fraudulently sells, barters, or disposes of any bond, bill, receipt, promissory note, draft, or check, or other evidence of indebtedness, for value, knowing the same to be worthless, or knowing the signature of the maker, endorser, or guarantor thereof to have been obtained by any false pretenses, shall be fined under this title or imprisoned not more than five years, or both; but if the amount, value or the face value of anything so obtained does not exceed $100, he shall be fined under this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645,
Historical and Revision Notes
1948 Act
Based on title 18, U.S.C., 1940 ed., §467a (Mar. 4, 1909, ch. 321, §288A, as added Aug. 5, 1939, ch. 434,
Words "upon any waters or vessel within the special maritime and territorial jurisdiction of the United States" were substituted for "upon the high seas or on any waters within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State, or within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State on board any vessel belonging in whole or in part to the United States or any citizen thereof or to any corporation created by or under the laws of the United States, or of any State, Territory, or District thereof", near beginning of section. The deleted words are not necessary in view of definitive
Words "whatsoever with intent to defraud" were omitted as being included in the preceding term "false pretenses".
The punishment provision was revised to include a misdemeanor punishment (not more than $1,000 or one year, or both) where the offense involves $100 or less. (See reviser's notes under
1949 Act
This section [section 22] corrects a typographical error in
Amendments
1994—
1949—Act May 24, 1949, corrected spelling of "pretense".
§1026. Compromise, adjustment, or cancellation of farm indebtedness
Whoever knowingly makes any false statement for the purpose of influencing in any way the action of the Secretary of Agriculture, or of any person acting under his authority, in connection with any compromise, adjustment, or cancellation of any farm indebtedness as provided by
(June 25, 1948, ch. 645,
Historical and Revision Notes
Based on
Words "of Agriculture" were inserted after "Secretary" for reasons of identification.
Words "upon conviction thereof" were omitted as surplusage, since punishment can not be imposed until after conviction.
Other changes were made in phraseology without change of substance.
Amendments
1994—
§1027. False statements and concealment of facts in relation to documents required by the Employee Retirement Income Security Act of 1974
Whoever, in any document required by title I of the Employee Retirement Income Security Act of 1974 (as amended from time to time) to be published, or kept as part of the records of any employee welfare benefit plan or employee pension benefit plan, or certified to the administrator of any such plan, makes any false statement or representation of fact, knowing it to be false, or knowingly conceals, covers up, or fails to disclose any fact the disclosure of which is required by such title or is necessary to verify, explain, clarify or check for accuracy and completeness any report required by such title to be published or any information required by such title to be certified, shall be fined under this title, or imprisoned not more than five years, or both.
(Added
References in Text
The Employee Retirement Income Security Act of 1974, referred to in text, is
Amendments
1994—
1974—
Effective Date of 1974 Amendment
Amendment by
Effective Date
Section effective 90 days after Mar. 20, 1962, see section 19 of
Section Referred to in Other Sections
This section is referred to in title 29 sections 1031, 1111.
§1028. Fraud and related activity in connection with identification documents
(a) Whoever, in a circumstance described in subsection (c) of this section—
(1) knowingly and without lawful authority produces an identification document or a false identification document;
(2) knowingly transfers an identification document or a false identification document knowing that such document was stolen or produced without lawful authority;
(3) knowingly possesses with intent to use unlawfully or transfer unlawfully five or more identification documents (other than those issued lawfully for the use of the possessor) or false identification documents;
(4) knowingly possesses an identification document (other than one issued lawfully for the use of the possessor) or a false identification document, with the intent such document be used to defraud the United States; or
(5) knowingly produces, transfers, or possesses a document-making implement with the intent such document-making implement will be used in the production of a false identification document or another document-making implement which will be so used;
(6) knowingly possesses an identification document that is or appears to be an identification document of the United States which is stolen or produced without lawful authority knowing that such document was stolen or produced without such authority;
or attempts to do so, shall be punished as provided in subsection (b) of this section.
(b) The punishment for an offense under subsection (a) of this section is—
(1) a fine of 1 under this title or imprisonment for not more than five years, or both, if the offense is—
(A) the production or transfer of an identification document or false identification document that is or appears to be—
(i) an identification document issued by or under the authority of the United States; or
(ii) a birth certificate, or a driver's license or personal identification card;
(B) the production or transfer of more than five identification documents or false identification documents; or
(C) an offense under paragraph (5) of such subsection;
(2) a fine of 1 under this title or imprisonment for not more than three years, or both, if the offense is—
(A) any other production or transfer of an identification document or false identification document; or
(B) an offense under paragraph (3) of such subsection; and
(3) a fine of 1 under this title or imprisonment for not more than one year, or both, in any other case.
(c) The circumstance referred to in subsection (a) of this section is that—
(1) the identification document or false identification document is or appears to be issued by or under the authority of the United States or the document-making implement is designed or suited for making such an identification document or false identification document;
(2) the offense is an offense under subsection (a)(4) of this section; or
(3) the production, transfer, or possession prohibited by this section is in or affects interstate or foreign commerce, or the identification document, false identification document, or document-making implement is transported in the mail in the course of the production, transfer, or possession prohibited by this section.
(d) As used in this section—
(1) the term "identification document" means a document made or issued by or under the authority of the United States Government, a State, political subdivision of a State, a foreign government, political subdivision of a foreign government, an international governmental or an international quasi-governmental organization which, when completed with information concerning a particular individual, is of a type intended or commonly accepted for the purpose of identification of individuals;
(2) the term "produce" includes alter, authenticate, or assemble;
(3) the term "document-making implement" means any implement or impression specially designed or primarily used for making an identification document, a false identification document, or another document-making implement;
(4) the term "personal identification card" means an identification document issued by a State or local government solely for the purpose of identification; and
(5) the term "State" includes any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any other commonwealth, possession or territory of the United States.
(e) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States, or any activity authorized under
(Added
Amendments
1994—Subsec. (b)(1).
Subsec. (b)(2).
Subsec. (b)(3).
1990—Subsec. (d)(5).
1988—Subsec. (a)(6).
1986—Subsec. (e).
Fraud and Related Activity in Connection With Identification Documents
"(a) For purposes of
"(1) reduce the redundancy and duplication of identification systems by providing information which can be utilized by the maximum number of authorities, and
"(2) facilitate positive identification of bona fide holders of identification documents.
"(b) The President shall, no later than 3 years after the date of enactment of this Act [Oct. 12, 1984], and after consultation with Federal, State, local, and international issuing authorities, and concerned groups make recommnedations [recommendations] to the Congress for the enactment of comprehensive legislation on Federal identification systems. Such legislation shall—
"(1) give due consideration to protecting the privacy of persons who are the subject of any identification system,
"(2) recommend appropriate civil and criminal sanctions for the misuse or unauthorized disclosure of personal identification information, and
"(3) make recommendations providing for the exchange of personal identification information as authorized by Federal or State law or Executive order of the President or the chief executive officer of any of the several States."
Section Referred to in Other Sections
This section is referred to in
1 So in original. The word "of" probably should not appear.
§1029. Fraud and related activity in connection with access devices
(a) Whoever—
(1) knowingly and with intent to defraud produces, uses, or traffics in one or more counterfeit access devices;
(2) knowingly and with intent to defraud traffics in or uses one or more unauthorized access devices during any one-year period, and by such conduct obtains anything of value aggregating $1,000 or more during that period;
(3) knowingly and with intent to defraud possesses fifteen or more devices which are counterfeit or unauthorized access devices;
(4) knowingly, and with intent to defraud, produces, traffics in, has control or custody of, or possesses device-making equipment;
(5) 1 knowingly and with intent to defraud uses, produces, traffics in, has control or custody of, or possesses a telecommunications instrument that has been modified or altered to obtain unauthorized use of telecommunications services; or 2
(6) 3 knowingly and with intent to defraud uses, produces, traffics in, has control or custody of, or possesses—
(A) a scanning receiver; or
(B) hardware or software used for altering or modifying telecommunications instruments to obtain unauthorized access to telecommunications services,
(5) 4 knowingly and with intent to defraud effects transactions, with 1 or more access devices issued to another person or persons, to receive payment or any other thing of value during any 1-year period the aggregate value of which is equal to or greater than $1,000;
(6) 5 without the authorization of the issuer of the access device, knowingly and with intent to defraud solicits a person for the purpose of—
(A) offering an access device; or
(B) selling information regarding or an application to obtain an access device; or
(7) 6 without the authorization of the credit card system member or its agent, knowingly and with intent to defraud causes or arranges for another person to present to the member or its agent, for payment, 1 or more evidences or records of transactions made by an access device;
shall, if the offense affects interstate or foreign commerce, be punished as provided in subsection (c) of this section.
(b)(1) Whoever attempts to commit an offense under subsection (a) of this section shall be punished as provided in subsection (c) of this section.
(2) Whoever is a party to a conspiracy of two or more persons to commit an offense under subsection (a) of this section, if any of the parties engages in any conduct in furtherance of such offense, shall be fined an amount not greater than the amount provided as the maximum fine for such offense under subsection (c) of this section or imprisoned not longer than one-half the period provided as the maximum imprisonment for such offense under subsection (c) of this section, or both.
(c) The punishment for an offense under subsection (a) or (b)(1) of this section is—
(1) a fine under this title or twice the value obtained by the offense, whichever is greater, or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(2), (3), (5), (6), or (7) of this section which does not occur after a conviction for another offense under either such subsection, or an attempt to commit an offense punishable under this paragraph;
(2) a fine under this title or twice the value obtained by the offense, whichever is greater, or imprisonment for not more than fifteen years, or both, in the case of an offense under subsection (a)(1), (4), (5), or (6) of this section which does not occur after a conviction for another offense under either such subsection, or an attempt to commit an offense punishable under this paragraph; and
(3) a fine under this title or twice the value obtained by the offense, whichever is greater, or imprisonment for not more than twenty years, or both, in the case of an offense under subsection (a) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this paragraph.
(d) The United States Secret Service shall, in addition to any other agency having such authority, have the authority to investigate offenses under this section. Such authority of the United States Secret Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General.
(e) As used in this section—
(1) the term "access device" means any card, plate, code, account number, electronic serial number, mobile identification number, personal identification number, or other telecommunications service, equipment, or instrument identifier, or other means of account access that can be used, alone or in conjunction with another access device, to obtain money, goods, services, or any other thing of value, or that can be used to initiate a transfer of funds (other than a transfer originated solely by paper instrument);
(2) the term "counterfeit access device" means any access device that is counterfeit, fictitious, altered, or forged, or an identifiable component of an access device or a counterfeit access device;
(3) the term "unauthorized access device" means any access device that is lost, stolen, expired, revoked, canceled, or obtained with intent to defraud;
(4) the term "produce" includes design, alter, authenticate, duplicate, or assemble;
(5) the term "traffic" means transfer, or otherwise dispose of, to another, or obtain control of with intent to transfer or dispose of;
(6) the term "device-making equipment" means any equipment, mechanism, or impression designed or primarily used for making an access device or a counterfeit access device; and
(7) 7 the term "credit card system member" means a financial institution or other entity that is a member of a credit card system, including an entity, whether affiliated with or identical to the credit card issuer, that is the sole member of a credit card system.
(7) 8 the term "scanning receiver" means a device or apparatus that can be used to intercept a wire or electronic communication in violation of
(f) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States, or any activity authorized under
(Added
Amendments
1994—Subsec. (a)(3).
Subsec. (a)(5).
Subsec. (a)(6).
Subsec. (a)(7).
Subsec. (c)(1).
Subsec. (c)(2).
Subsec. (c)(3).
Subsec. (e)(1).
Subsec. (e)(5), (6).
Subsec. (e)(7).
1990—Subsec. (f).
1986—Subsec. (f).
Report to Congress
Section 1603 of
Section Referred to in Other Sections
This section is referred to in
1 So in original. Another par. (5) is set out below.
2 So in original. The word "or" probably should not appear.
3 So in original. Another par. (6) is set out below.
4 So in original. Probably should be "(7)".
5 So in original. Probably should be "(8)".
6 So in original. Probably should be "(9)".
7 So in original. Another par. (7) is set out below.
8 So in original. Probably should be "(8)".
§1030. Fraud and related activity in connection with computers
(a) Whoever—
(1) knowingly accesses a computer without authorization or exceeds authorized access, and by means of such conduct obtains information that has been determined by the United States Government pursuant to an Executive order or statute to require protection against unauthorized disclosure for reasons of national defense or foreign relations, or any restricted data, as defined in paragraph y. of section 11 of the Atomic Energy Act of 1954, with the intent or reason to believe that such information so obtained is to be used to the injury of the United States, or to the advantage of any foreign nation;
(2) intentionally accesses a computer without authorization or exceeds authorized access, and thereby obtains information contained in a financial record of a financial institution, or of a card issuer as defined in
(3) intentionally, without authorization to access any computer of a department or agency of the United States, accesses such a computer of that department or agency that is exclusively for the use of the Government of the United States or, in the case of a computer not exclusively for such use, is used by or for the Government of the United States and such conduct adversely affects the use of the Government's operation of such computer;
(4) knowingly and with intent to defraud, accesses a Federal interest computer without authorization, or exceeds authorized access, and by means of such conduct furthers the intended fraud and obtains anything of value, unless the object of the fraud and the thing obtained consists only of the use of the computer;
(5)(A) through means of a computer used in interstate commerce or communications, knowingly causes the transmission of a program, information, code, or command to a computer or computer system if—
(i) the person causing the transmission intends that such transmission will—
(I) damage, or cause damage to, a computer, computer system, network, information, data, or program; or
(II) withhold or deny, or cause the withholding or denial, of the use of a computer, computer services, system or network, information, data or program; and
(ii) the transmission of the harmful component of the program, information, code, or command—
(I) occurred without the authorization of the persons or entities who own or are responsible for the computer system receiving the program, information, code, or command; and
(II)(aa) causes loss or damage to one or more other persons of value aggregating $1,000 or more during any 1-year period; or
(bb) modifies or impairs, or potentially modifies or impairs, the medical examination, medical diagnosis, medical treatment, or medical care of one or more individuals; or
(B) through means of a computer used in interstate commerce or communication, knowingly causes the transmission of a program, information, code, or command to a computer or computer system—
(i) with reckless disregard of a substantial and unjustifiable risk that the transmission will—
(I) damage, or cause damage to, a computer, computer system, network, information, data or program; or
(II) withhold or deny or cause the withholding or denial of the use of a computer, computer services, system, network, information, data or program; and
(ii) if the transmission of the harmful component of the program, information, code, or command—
(I) occurred without the authorization of the persons or entities who own or are responsible for the computer system receiving the program, information, code, or command; and
(II)(aa) causes loss or damage to one or more other persons of a value aggregating $1,000 or more during any 1-year period; or
(bb) modifies or impairs, or potentially modifies or impairs, the medical examination, medical diagnosis, medical treatment, or medical care of one or more individuals; 1
(6) knowingly and with intent to defraud traffics (as defined in section 1029) in any password or similar information through which a computer may be accessed without authorization, if—
(A) such trafficking affects interstate or foreign commerce; or
(B) such computer is used by or for the Government of the United States;
shall be punished as provided in subsection (c) of this section.
(b) Whoever attempts to commit an offense under subsection (a) of this section shall be punished as provided in subsection (c) of this section.
(c) The punishment for an offense under subsection (a) or (b) of this section is—
(1)(A) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(1) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and
(B) a fine under this title or imprisonment for not more than twenty years, or both, in the case of an offense under subsection (a)(1) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and 2
(2)(A) a fine under this title or imprisonment for not more than one year, or both, in the case of an offense under subsection (a)(2), (a)(3) or (a)(6) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and
(B) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(2), (a)(3) or (a)(6) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph;
(3)(A) a fine under this title or imprisonment for not more than five years, or both, in the case of an offense under subsection (a)(4) or (a)(5)(A) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and
(B) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(4) or (a)(5) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and
(4) a fine under this title or imprisonment for not more than 1 year, or both, in the case of an offense under subsection (a)(5)(B).
(d) The United States Secret Service shall, in addition to any other agency having such authority, have the authority to investigate offenses under this section. Such authority of the United States Secret Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General.
(e) As used in this section—
(1) the term "computer" means an electronic, magnetic, optical, electrochemical, or other high speed data processing device performing logical, arithmetic, or storage functions, and includes any data storage facility or communications facility directly related to or operating in conjunction with such device, but such term does not include an automated typewriter or typesetter, a portable hand held calculator, or other similar device;
(2) the term "Federal interest computer" means a computer—
(A) exclusively for the use of a financial institution or the United States Government, or, in the case of a computer not exclusively for such use, used by or for a financial institution or the United States Government and the conduct constituting the offense affects the use of the financial institution's operation or the Government's operation of such computer; or
(B) which is one of two or more computers used in committing the offense, not all of which are located in the same State;
(3) the term "State" includes the District of Columbia, the Commonwealth of Puerto Rico, and any other commonwealth, possession or territory of the United States;
(4) the term "financial institution" means—
(A) an institution, with deposits insured by the Federal Deposit Insurance Corporation;
(B) the Federal Reserve or a member of the Federal Reserve including any Federal Reserve Bank;
(C) a credit union with accounts insured by the National Credit Union Administration;
(D) a member of the Federal home loan bank system and any home loan bank;
(E) any institution of the Farm Credit System under the Farm Credit Act of 1971;
(F) a broker-dealer registered with the Securities and Exchange Commission pursuant to section 15 of the Securities Exchange Act of 1934;
(G) the Securities Investor Protection Corporation;
(H) a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978); and
(I) an organization operating under section 25 or section 25(a) 3 of the Federal Reserve Act.4
(5) the term "financial record" means information derived from any record held by a financial institution pertaining to a customer's relationship with the financial institution;
(6) the term "exceeds authorized access" means to access a computer with authorization and to use such access to obtain or alter information in the computer that the accesser is not entitled so to obtain or alter; and
(7) the term "department of the United States" means the legislative or judicial branch of the Government or one of the executive departments enumerated in
(f) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States.
(g) Any person who suffers damage or loss by reason of a violation of the 5 section, other than a violation of subsection (a)(5)(B), may maintain a civil action against the violator to obtain compensatory damages and injunctive relief or other equitable relief. Damages for violations of any subsection other than subsection (a)(5)(A)(ii)(II)(bb) or (a)(5)(B)(ii)(II)(bb) are limited to economic damages. No action may be brought under this subsection unless such action is begun within 2 years of the date of the act complained of or the date of the discovery of the damage.
(h) The Attorney General and the Secretary of the Treasury shall report to the Congress annually, during the first 3 years following the date of the enactment of this subsection, concerning investigations and prosecutions under
(Added
References in Text
Section 11 of the Atomic Energy Act of 1954, referred to in subsec. (a)(1), is classified to
The Fair Credit Reporting Act, referred to in subsec. (a)(2), is title VI of
The Farm Credit Act of 1971, referred to in subsec. (e)(4)(E), is
Section 15 of the Securities Exchange Act of 1934, referred to in subsec. (e)(4)(F), is classified to
Section 1(b) of the International Banking Act of 1978, referred to in subsec. (e)(4)(H), is classified to
Section 25 of the Federal Reserve Act, referred to in subsec. (e)(4)(I), is classified to subchapter I (§601 et seq.) of
The date of the enactment of this subsection, referred to in subsec. (h), is the date of enactment of
Amendments
1994—Subsec. (a)(3).
Subsec. (a)(5).
"(A) causes loss to one or more others of a value aggregating $1,000 or more during any one year period; or
"(B) modifies or impairs, or potentially modifies or impairs, the medical examination, medical diagnosis, medical treatment, or medical care of one or more individuals; or".
Subsec. (c)(3)(A).
Subsec. (c)(4).
Subsec. (g).
Subsec. (h).
1990—Subsec. (a)(1).
Subsec. (e)(3).
Subsec. (e)(4)(G).
Subsec. (e)(4)(H), (I).
1989—Subsec. (e)(4)(A).
Subsec. (e)(4)(C) to (H).
1988—Subsec. (a)(2).
1986—Subsec. (a).
Subsec. (a)(1).
Subsec. (a)(2).
Subsec. (a)(3).
Subsec. (a)(4) to (6).
Subsec. (b).
Subsec. (c).
Subsec. (c)(1)(A).
Subsec. (c)(1)(B).
Subsec. (c)(2)(A).
Subsec. (c)(2)(B).
Subsec. (c)(3).
Subsec. (e).
Subsec. (f).
Reports to Congress
Section 2103 of
Section Referred to in Other Sections
This section is referred to in
1 So in original. Probably should be followed by "or".
2 So in original. The word "and" probably should not appear.
3 See References in Text note below.
4 So in original. The period probably should be a semicolon.
5 So in original. Probably should be "this".
§1031. Major fraud against the United States
(a) Whoever knowingly executes, or attempts to execute, any scheme or artifice with the intent—
(1) to defraud the United States; or
(2) to obtain money or property by means of false or fraudulent pretenses, representations, or promises,
in any procurement of property or services as a prime contractor with the United States or as a subcontractor or supplier on a contract in which there is a prime contract with the United States, if the value of the contract, subcontract, or any constituent part thereof, for such property or services is $1,000,000 or more shall, subject to the applicability of subsection (c) of this section, be fined not more than $1,000,000, or imprisoned not more than 10 years, or both.
(b) The fine imposed for an offense under this section may exceed the maximum otherwise provided by law, if such fine does not exceed $5,000,000 and—
(1) the gross loss to the Government or the gross gain to a defendant is $500,000 or greater; or
(2) the offense involves a conscious or reckless risk of serious personal injury.
(c) The maximum fine imposed upon a defendant for a prosecution including a prosecution with multiple counts under this section shall not exceed $10,000,000.
(d) Nothing in this section shall preclude a court from imposing any other sentences available under this title, including without limitation a fine up to twice the amount of the gross loss or gross gain involved in the offense pursuant to
(e) In determining the amount of the fine, the court shall consider the factors set forth in
(1) the need to reflect the seriousness of the offense, including the harm or loss to the victim and the gain to the defendant;
(2) whether the defendant previously has been fined for a similar offense; and
(3) any other pertinent equitable considerations.
(f) A prosecution of an offense under this section may be commenced any time not later than 7 years after the offense is committed, plus any additional time otherwise allowed by law.
(g)(1) In special circumstances and in his or her sole discretion, the Attorney General is authorized to make payments from funds appropriated to the Department of Justice to persons who furnish information relating to a possible prosecution under this section. The amount of such payment shall not exceed $250,000. Upon application by the Attorney General, the court may order that the Department shall be reimbursed for a payment from a criminal fine imposed under this section.
(2) An individual is not eligible for such a payment if—
(A) that individual is an officer or employee of a Government agency who furnishes information or renders service in the performance of official duties;
(B) that individual failed to furnish the information to the individual's employer prior to furnishing it to law enforcement authorities, unless the court determines the individual has justifiable reasons for that failure;
(C) the furnished information is based upon public disclosure of allegations or transactions in a criminal, civil, or administrative hearing, in a congressional, administrative, or GAO report, hearing, audit or investigation, or from the news media unless the person is the original source of the information. For the purposes of this subsection, "original source" means an individual who has direct and independent knowledge of the information on which the allegations are based and has voluntarily provided the information to the Government; or
(D) that individual participated in the violation of this section with respect to which such payment would be made.
(3) The failure of the Attorney General to authorize a payment shall not be subject to judicial review.
(h) Any individual who—
(1) is discharged, demoted, suspended, threatened, harassed, or in any other manner discriminated against in the terms and conditions of employment by an employer because of lawful acts done by the employee on behalf of the employee or others in furtherance of a prosecution under this section (including investigation for, initiation of, testimony for, or assistance in such prosecution), and
(2) was not a participant in the unlawful activity that is the subject of said prosecution, may, in a civil action, obtain all relief necessary to make such individual whole. Such relief shall include reinstatement with the same seniority status such individual would have had but for the discrimination, 2 times the amount of back pay, interest on the back pay, and compensation for any special damages sustained as a result of the discrimination, including litigation costs and reasonable attorney's fees.
(Added
Amendments
1994—Subsec. (g).
Subsec. (g)(2)(A).
Subsec. (h).
1989—Subsec. (g).
Effective Date of 1989 Amendment
Section 2(b) of
Sentencing Guidelines
Section 2(b) of
Section Referred to in Other Sections
This section is referred to in
§1032. Concealment of assets from conservator, receiver, or liquidating agent of financial institution
Whoever—
(1) knowingly conceals or endeavors to conceal an asset or property from the Federal Deposit Insurance Corporation, acting as conservator or receiver or in the Corporation's corporate capacity with respect to any asset acquired or liability assumed by the Corporation under section 11, 12, or 13,1 of the Federal Deposit Insurance Act, the Resolution Trust Corporation, any conservator appointed by the Comptroller of the Currency or the Director of the Office of Thrift Supervision, or the National Credit Union Administration Board, acting as conservator or liquidating agent;
(2) corruptly impedes or endeavors to impede the functions of such Corporation, Board, or conservator; or
(3) corruptly places or endeavors to place an asset or property beyond the reach of such Corporation, Board, or conservator,
shall be fined under this title or imprisoned not more than 5 years, or both.
(Added
References in Text
Sections 11, 12, and 13 of the Federal Deposit Insurance Act, referred to in par. (1), are classified to sections 1821, 1822, and 1823, respectively, of Title 12, Banks and Banking.
Section Referred to in Other Sections
This section is referred to in
1 So in original. The comma probably should not appear.
§1033. Crimes by or affecting persons engaged in the business of insurance whose activities affect interstate commerce
(a)(1) Whoever is engaged in the business of insurance whose activities affect interstate commerce and knowingly, with the intent to deceive, makes any false material statement or report or willfully and materially overvalues any land, property or security—
(A) in connection with any financial reports or documents presented to any insurance regulatory official or agency or an agent or examiner appointed by such official or agency to examine the affairs of such person, and
(B) for the purpose of influencing the actions of such official or agency or such an appointed agent or examiner,
shall be punished as provided in paragraph (2).
(2) The punishment for an offense under paragraph (1) is a fine as established under this title or imprisonment for not more than 10 years, or both, except that the term of imprisonment shall be not more than 15 years if the statement or report or overvaluing of land, property, or security jeopardized the safety and soundness of an insurer and was a significant cause of such insurer being placed in conservation, rehabilitation, or liquidation by an appropriate court.
(b)(1) Whoever—
(A) acting as, or being an officer, director, agent, or employee of, any person engaged in the business of insurance whose activities affect interstate commerce, or
(B) is engaged in the business of insurance whose activities affect interstate commerce or is involved (other than as an insured or beneficiary under a policy of insurance) in a transaction relating to the conduct of affairs of such a business,
willfully embezzles, abstracts, purloins, or misappropriates any of the moneys, funds, premiums, credits, or other property of such person so engaged shall be punished as provided in paragraph (2).
(2) The punishment for an offense under paragraph (1) is a fine as provided under this title or imprisonment for not more than 10 years, or both, except that if such embezzlement, abstraction, purloining, or misappropriation described in paragraph (1) jeopardized the safety and soundness of an insurer and was a significant cause of such insurer being placed in conservation, rehabilitation, or liquidation by an appropriate court, such imprisonment shall be not more than 15 years. If the amount or value so embezzled, abstracted, purloined, or misappropriated does not exceed $5,000, whoever violates paragraph (1) shall be fined as provided in this title or imprisoned not more than one year, or both.
(c)(1) Whoever is engaged in the business of insurance and whose activities affect interstate commerce or is involved (other than as an insured or beneficiary under a policy of insurance) in a transaction relating to the conduct of affairs of such a business, knowingly makes any false entry of material fact in any book, report, or statement of such person engaged in the business of insurance with intent to deceive any person, including any officer, employee, or agent of such person engaged in the business of insurance, any insurance regulatory official or agency, or any agent or examiner appointed by such official or agency to examine the affairs of such person, about the financial condition or solvency of such business shall be punished as provided in paragraph (2).
(2) The punishment for an offense under paragraph (1) is a fine as provided under this title or imprisonment for not more than 10 years, or both, except that if the false entry in any book, report, or statement of such person jeopardized the safety and soundness of an insurer and was a significant cause of such insurer being placed in conservation, rehabilitation, or liquidation by an appropriate court, such imprisonment shall be not more than 15 years.
(d) Whoever, by threats or force or by any threatening letter or communication, corruptly influences, obstructs, or impedes or endeavors corruptly to influence, obstruct, or impede the due and proper administration of the law under which any proceeding involving the business of insurance whose activities affect interstate commerce is pending before any insurance regulatory official or agency or any agent or examiner appointed by such official or agency to examine the affairs of a person engaged in the business of insurance whose activities affect interstate commerce, shall be fined as provided in this title or imprisoned not more than 10 years, or both.
(e)(1)(A) Any individual who has been convicted of any criminal felony involving dishonesty or a breach of trust, or who has been convicted of an offense under this section, and who willfully engages in the business of insurance whose activities affect interstate commerce or participates in such business, shall be fined as provided in this title or imprisoned not more than 5 years, or both.
(B) Any individual who is engaged in the business of insurance whose activities affect interstate commerce and who willfully permits the participation described in subparagraph (A) shall be fined as provided in this title or imprisoned not more than 5 years, or both.
(2) A person described in paragraph (1)(A) may engage in the business of insurance or participate in such business if such person has the written consent of any insurance regulatory official authorized to regulate the insurer, which consent specifically refers to this subsection.
(f) As used in this section—
(1) the term "business of insurance" means—
(A) the writing of insurance, or
(B) the reinsuring of risks,
by an insurer, including all acts necessary or incidental to such writing or reinsuring and the activities of persons who act as, or are, officers, directors, agents, or employees of insurers or who are other persons authorized to act on behalf of such persons;
(2) the term "insurer" means any entity the business activity of which is the writing of insurance or the reinsuring of risks, and includes any person who acts as, or is, an officer, director, agent, or employee of that business;
(3) the term "interstate commerce" means—
(A) commerce within the District of Columbia, or any territory or possession of the United States;
(B) all commerce between any point in the State, territory, possession, or the District of Columbia and any point outside thereof;
(C) all commerce between points within the same State through any place outside such State; or
(D) all other commerce over which the United States has jurisdiction; and
(4) the term "State" includes any State, the District of Columbia, the Commonwealth of Puerto Rico, the Northern Mariana Islands, the Virgin Islands, American Samoa, and the Trust Territory of the Pacific Islands.
(Added
Termination of Trust Territory of the Pacific Islands
For termination of Trust Territory of the Pacific Islands, see note set out preceding
Section Referred to in Other Sections
This section is referred to in
§1034. Civil penalties and injunctions for violations of section 1033
(a) The Attorney General may bring a civil action in the appropriate United States district court against any person who engages in conduct constituting an offense under section 1033 and, upon proof of such conduct by a preponderance of the evidence, such person shall be subject to a civil penalty of not more than $50,000 for each violation or the amount of compensation which the person received or offered for the prohibited conduct, whichever amount is greater. If the offense has contributed to the decision of a court of appropriate jurisdiction to issue an order directing the conservation, rehabilitation, or liquidation of an insurer, such penalty shall be remitted to the appropriate regulatory official for the benefit of the policyholders, claimants, and creditors of such insurer. The imposition of a civil penalty under this subsection does not preclude any other criminal or civil statutory, common law, or administrative remedy, which is available by law to the United States or any other person.
(b) If the Attorney General has reason to believe that a person is engaged in conduct constituting an offense under section 1033, the Attorney General may petition an appropriate United States district court for an order prohibiting that person from engaging in such conduct. The court may issue an order prohibiting that person from engaging in such conduct if the court finds that the conduct constitutes such an offense. The filing of a petition under this section does not preclude any other remedy which is available by law to the United States or any other person.
(Added