Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor

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The Corporate Investigations List (January 2014)

The companies listed below are known to be the subject of an ongoing and unresolved FCPA-related investigation.

The names are current through December 31, 2013.

The entries are based on disclosures in SEC filings or news reports or both.

Some companies on the list have disclosed DOJ and SEC investigations, and declinations from only one of those agencies. We're assuming the agency for which a declination hasn't been disclosed is continuing its investigation.

The DOJ and SEC don't disclose the existence of FCPA investigations or comment on them. That means non-issuers (non-public companies) and issuers that have a pending investigation but haven't disclosed it, may not appear on our list.

This data is made available once again through the generous contribution of an anonymous volunteer researcher.

In addition to the companies on the list, the researcher identified more than 20 others suspected to be the target of an ongoing FCPA investigation. The researcher (and others) aren't able to confirm those investigations using reliable sources, so the companies have been omitted.

Here are the current 91 names:

1. ABM Industries Inc

2. Accenture plc

3. Agilent Technologies Inc

4. Alcoa Inc

5. Alstom SA

6. Analogic Corporation

7. Anheuser-Busch InBev SA/NV

8. AstraZeneca plc

9. Avon Products Inc

10. Baker Hughes Incorporated (BJ Services)

11. Barclays plc

12. Baxter International Inc

13. Beam Inc

14. BHP Billiton Ltd

15. Bio-Rad Laboratories Inc

16. Bristol-Myers Squibb Company

17. Brookfield Asset Management Inc

18. Bruker Corporation

19. BSG Resources Ltd

20. Central European Distribution Corporation

21. Cobalt International Energy Inc

22. Dialogic Inc

23. Deutsche Post AG (DHL)

24. DreamWorks Animation SKG Inc

25. Dun & Bradstreet Corporation

26. Eli Lilly and Company

27. Embraer SA

28. Ericsson AB

29. Expro International Group plc

30. ExxonMobil Corporation

31. Fresenius Medical Care AG & Co. KGaA

32. GlaxoSmithKline plc

33. Gold Fields Limited

34. Goldman Sachs Group Inc

35. Goodyear Tire and Rubber Company

36. Halliburton Company

37. Harris Corporation

38. Hess

39. Hewlett-Packard Company

40. Hyperdynamics Corporation

41. Image Sensing Systems

42. Ingersoll-Rand plc

43. International Business Machines Corporation

44. JPMorgan Chase

45. Juniper Networks

46. Kimco Realty Corporation

47. KKR & Company LP

48. Kraft Foods Inc

49. Las Vegas Sands Corp

50. Layne Christensen Company

51. LyondellBasell Industries

52. Merck & Co Inc

53. Microsoft Corporation

54. Motorola Solutions Inc

55. MTS Systems Corporation

56. Comcast (NBCUniversal Inc)

57. National Geographic

58. NCR Corporation

59. Net 1 UEPS Technologies Inc

60. News Corporation

61. Nordion Inc

62. Novartis AG

63. Olympus Corp

64. Optimer Pharmaceuticals Inc

65. Oracle Corporation

66. Owens-Illinois Group Inc

67. Panasonic Corporation

68. Parametric Technology Corporation

69. Park-Ohio Industries Inc

70. Protective Products of America Inc

71. Qualcomm Incorporated

72. Sanofi SA

73. SBM Offshore NV

74. Sciclone Pharmaceuticals Inc

75. Sensata Technologies Holding NV

76. Siemens AG

77. SL Industries Inc

78. Smith & Wesson Holding Corporation

79. Sony Corporation

80. STR Holdings Inc

81. Tata Communications Limited

82. Tesco Corporation

83. Teva Pharmaceutical Industries Limited

84. Time Warner Inc

85. Universal Entertainment Corp.

86. Universal Music Group (Vivendi)

87. Viacom (Paramount Pictures)

88. Wal-mart Stores Inc

89. Walt Disney Company

90. Walters Power International LLC

91. WS Atkins plc (PBSJ Corp)

The list for the prior quarter is here and for the end of 2012 is here.


Richard L. Cassin is the Publisher and Editor of the FCPA Blog. He can be contacted here.