White-Collar Criminal Appeals

White-Collar Criminal Appellate Review

A criminal appeal is not a new trial. The reviewing court generally considers the record created in the trial court and determines whether legal error occurred that warrants appellate relief.

White-collar criminal cases can present particularly complex appellate records. The underlying proceedings may involve extensive documentary evidence, financial transactions, expert testimony, regulatory issues, statutory interpretation, and lengthy pretrial and trial proceedings.

Appellate analysis therefore begins with the procedural history, the issues raised below, the rulings made by the trial court, and the record available for appellate review.

Issues That May Arise on Appeal

The issues presented in a white-collar criminal appeal depend upon the particular proceedings and record.

Appellate matters may involve issues concerning:

• Statutory interpretation
• Evidentiary rulings
• Jury instructions
• Constitutional questions
• Sufficiency of the evidence
• Pretrial or trial rulings
• Sentencing
• Restitution or forfeiture
• Preservation of error
• The applicable standard of review

The existence of an adverse ruling does not by itself establish reversible error. Appellate review ordinarily requires consideration of both whether error occurred and whether the error provides a legally sufficient basis for relief.

Preservation and the Trial-Court Record

As in civil appellate practice, preservation can be important in a criminal appeal.

Arguments presented to the trial court, objections made or not made, evidentiary rulings, motions, jury instructions, sentencing proceedings, and other portions of the record may affect what can later be considered by the reviewing court.

For that reason, appellate issues sometimes warrant consideration before the trial-court proceedings have concluded.

Where significant legal or evidentiary issues are developing, consultation with appellate counsel may help identify preservation and record concerns before those issues reach the reviewing court.

Appellate Strategy Before Judgment

Sentencing and Financial Issues

White-collar criminal cases frequently involve substantial financial and sentencing consequences in addition to the underlying conviction.

Depending on the case, appellate issues may concern the interpretation or application of sentencing provisions, restitution orders, forfeiture, financial calculations, or other consequences imposed as part of the judgment.

Mr. Ogden's background as a Certified Specialist in Taxation Law and his experience with complex financial and tax matters may also be relevant where an appellate record involves sophisticated transactions or financial issues.

California and Federal White-Collar Appeals

Mr. Ogden is available to advise concerning both California and federal white-collar criminal appellate matters.

California and federal appellate systems have their own jurisdictional rules, filing requirements, standards, and procedures. The appropriate appellate strategy therefore depends upon the court in which the underlying matter was prosecuted and the procedural posture of the case.

Mr. Ogden has substantial appellate experience concerning matters before numerous United States Courts of Appeals.

Federal Appeals and Writs

White-Collar Criminal Appeals From California Superior Courts

In California, felony cases are appealed to the California Court of Appeal, while misdemeanor-only appeals are generally heard by the appellate division of the superior court.

Felony matters proceed to the appellate district that serves the county of trial, and within the First, Second, and Fourth Districts to an assigned division.

Because the reviewing court depends in part upon the nature of the underlying criminal case, determining appellate jurisdiction is an important threshold issue.

• California Appeals Before the Courts of Appeal
• California Superior Court Appellate Divisions

Evaluating a White-Collar Criminal Appeal

An appellate evaluation may involve consideration of:

• The judgment or order being challenged
• The procedural history of the case
• Applicable appellate deadlines
• Issues preserved in the trial court
• The trial and sentencing record
• The applicable standard of review
• Whether legal error occurred
• Whether any identified error can support appellate relief
• The practical objectives of pursuing further review

Plea-related matters and certain other criminal proceedings may also involve additional procedural requirements that should be identified early in the appellate process.

Further Appellate Review

A white-collar criminal matter may also raise questions concerning further review after a decision by an intermediate appellate court.

Depending upon the case, that may include consideration of a petition for review before the California Supreme Court or a petition for writ of certiorari before the Supreme Court of the United States.

• California Supreme Court Matters
• U.S. Supreme Court Matters