Annex A
DOJ FCPA ENFORCEMENT ACTIONS BROUGHT—2000-09 [WITH
CORPORATE PENALTIES]
2000: 0 prosecutions
2001: 6 prosecutions:
— U.S. v. David Kay, S.D. Texas 2001
— U.S. v. Daniel Ray Rothrock, W.D. Texas
2001
— U.S. v. Joshua Cantor, S.D.N.Y. 2001
— U.S. v. Richard K. Halford, W.D. Mo.
2001
— U.S. v. Albert Franklin Reitz, W.D. Mo.
2001
— U.S. v. Robert Richard King and Pablo
Barquero Hernandez, W.D. Mo. 2001
2002: 5 prosecutions:
— U.S. v. David Kay and Douglas Murphy,
S.D. Texas 2002
— U.S. v. Gautam Sengupta, D.D.C. 2002
— U.S. v. Ramendra Basu, D.D.C. 2002
— U.S. v. Richard G. Pitchford, D.D.C.
2002
— U.S. v. Syncor Taiwan, Inc., C.D.Cal.
2002 [$2 million penalty]
2003: 3 prosecutions:
— U.S. v. James H. Giffen, S.D.N.Y. 2003
— U.S. v. Clayton Lewis, S.D.N.Y. 2003
— U.S. v. Thomas Farrell, S.D.N.Y. 2003
2004: 3 prosecutions
— U.S. v. ABB Vetco Gray Inc. and ABB Vetco
Gray (UK) Ltd., S.D. Texas 2004 [$10.5 million penalty]
— Invision Technologies, 2004 [$800,000 penalty]
— U.S. v. Hans Bodmer, S.D.N.Y. 2004
2005: 5 prosecutions:
— U.S. v. Monsanto, D.D.C. 2005 [$1.5 million
penalty]
— U.S. v. Titan Corporation, S.D. Cal.
2005 [$13 million penalty]
— Micrus Corporation, 2005 [$450,000 penalty]
— U.S. v. DPC (Tianjin) Co. Ltd, CD. Cal.
2005 [$2 million penalty]
— U.S. v. Viktor Kozeny, Frederick Bourke,
Jr., and David Pinkerton, S.D.N.Y. 2005
2006: 8 prosecutions:
— U.S. v. Yaw Osei Amoaka, D.N.J. 2006
— U.S.v. Faheem Mousa Salam, D.D.C. 2006
— U.S. v. Richard John Novak, E.D. Washington
2006
— U.S. v. Jim Bob Brown, S.D. Texas 2006
— U.S. v. Statoil ASA, S.D.N.Y. 2006 [$10.5 million
penalty]
— U.S. v. SSI International Far East Ltd.,
D. Oregon 2006
Schnitzer Steel, 2006 [$7.5 million penalty]
— U.S. v. Steven Lynwood Head, S.D. Cal.
2006
— U.S. v. Christian Sapsizian, S.D. Fla.
2006
2007: 16 prosecutions (including 4 OFF):
— U.S. v. Vetco Gray Controls Inc., Vetco
Gray Controls Ltd. and Vetco Gray UK Ltd.,
S.D. Texas 2007
Aibel Group Ltd, 2007 [$26 million in penalties]
— U.S. v. Christian Sapsizian and Edgar
Valverde Acosta, S.D. Fla. 2007
— U.S. v. Baker Hughes Services International,
S.D. Texas 2007
Baker Hughes Inc., 2007 [$11 million penalty]
— U.S. v. William J. Jefferson, E.D. Va.
2007
— U.S. v. Leo Winston Smith, CD. Ca. 2007
— Omega Advisors, 2007 [$500,000 civil
forfeiture]
— U.S. v. Si Chan Wooh, D. Oregon 2007
— U.S. v. Jason Steph, S.D. Texas 2007
— U.S. v. Steven Ott, D.N J. 2007
— U.S. v. Roger Young, D.N.J. 2007
— Textron Inc., 2007 [OFF], 2007 [$1.15 million
penalty]
— Paradigm B.V., 2007 [$1 million
penalty]
— U.S. v. York International Corporation
[OFF], D.D.C. 2007 [$10 million penalty]
— The Ingersoll-Rand Company Limited [OFF],
2007
U.S. v. Ingersoll-Rand Italiana SpA and Thermo King
Ireland Limited,
D.D.C. 2007 [$2.5 million penalty]
— U.S. v. Gerald Green and Patricia Green,
CDCA 2007
— Akzo Nobel N.V. [OFF], 2007 [no
U.S. penalty in light of 381,602 Euro fine paid to the Netherlands]
— Lucent Technologies, Inc., 2007 [$1 million
penalty]
2008: 16 prosecutions (including 3 OFF):
— U.S. v. James K. Tillery and Paul G.
Novak, S.D. Texas 2008
— Westinghouse Air Brake Technologies Corporation,
2008 [$300,000 penalty]
— Flowserve, Flowserve Pompes SAS [OFF],
D.D.C. 2008 [$4 million penalty]
— AB Volvo, Renault Trucks SAS, Volvo Construction
Equipment AB [OFF], 2008 [$7 million penalty]
— U.S. v. Martin Self, CDCA 2008
— U.S. v. Willbros Group, Inc. and Willbros
International, Inc., S.D. Texas 2008 [$22 million penalty]
— U.S. v. AGA Medical Corporation, D. Minn.
2008 [$2 million penalty]
— FARO Technologies, Inc., 2008 [$1.1 million
penalty]
— U.S. v. Albert "Jack" Stanley,
S.D. Texas 2008
— U.S. v. Nam Quoc Nguyen, et al., E.D.
Pa. 2008
— U.S. v. Shu Quan-Sheng, E.D. Va. 2008
— U.S. v. Aibel Group Ltd., S.D. Texas
2008 [$4.2 million penalty]
— U.S. v. Misao Hioki, S.D. Texas 2008
— U.S. v. Siemens AG; U.S. v. Siemens S.A.
(Argentina); U.S. v. Siemens
— Bangladesh Ltd.; and U.S. v. Siemens
S.A. (Venezuela), D.D.C. 2008 [$450 million penalty]
— U.S. v. Mario Covino, CDCA 2008
— Fiat S.p.A. [OFF], 2008
U.S. v. Iveco S.p.A., U.S. v. CNH Italia S.p.A.,
U.S. v. CNH France S.A.,
D.D.C. 2008 [$7 million penalty]
2009: 7 prosecutions (to date) (including
1 OFF)
— U.S. v. Richard Morlok, CD. Ca. 2008
— U.S. v. Kellogg, Brown & Root LLC,
S.D. Texas 2009 [$402 million penalty]
— U.S. v. Jeffrey Tessler and Wojciech
Chodan, S.D. Texas 2009
— U.S. v. Latin Node, Inc.. S.D. Fla. 2009
— U.S. v. Stuart Carson, Hong Carson, Paul
Cosgrove, David Edmonds, Flavio Ricotti and Han Yong Kim, CD.
Ca. 2009
— U.S. v. Novo Nordisk A/S, D.D.C. 2009 [$9 million
penalty]
— U.S. v. Juan Diaz; U.S. v. Antonio Perez,
S.D. Fla. 2009
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