Search

Editors

Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Michael Scher
Senior Editor

Elizabeth K. Spahn Contributing Editor

Julie DiMauro Contributing Editor

Eric Carlson Contributing Editor

Michael Kuria Contributing Editor

Thomas Fox Contributing Editor

Philip Fitzgerald Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Brook Horowitz Contributing Editor

Connect

Subscribe to receive the free FCPA Blog daily

Close
FCPA Blog Daily News

« Flash: Switzerland wins World Cup (not that World Cup) | Main | Job: Senior Corporate Counsel, Transactions Compliance Lead (Pfizer) »
Monday
Jul072014

The Corporate Investigations List (July 2014)

The companies listed below are the subject of an ongoing and unresolved FCPA-related investigation. The names are current through June 30, 2014.

The entries are based on disclosures in SEC filings or credible 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 at least 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 106 names:

1    ABM Industries Incorporated
2    Accenture PLC
3    Agilent Technologies Inc
4    Airbus Group
5    Alstom SA
6    Analogic Corporation
7    Anheuser-Busch InBev SA/NV
8    AstraZeneca PLC
9    Avon Products Inc
10   Barclays PLC
11   Beam Inc
12   BHP Billiton Ltd
13   Bio-Rad Laboratories Inc
14   Blackstone Group LP
15   Bristol-Myers Squibb Company
16   Brookfield Asset Management Inc
17   Bruker Corporation
18   BSG Resources Ltd
19   Central European Distribution Corporation
20   Chestnut Consulting Inc
21   Cisco Systems Inc
22   Citigroup Inc
23   Credit Suisse Group AG
24   Cobalt International Energy Inc
25   Comcast (NBCUniversal Inc)
26   Cubist Pharmaceuticals Inc (Optimer Pharmaceuticals Inc)
27   Dialogic Inc
28   Delphi Automotive PLC
29   Deutsche Bank AG
30   Deutsche Post AG (DHL)
31   DreamWorks Animation SKG Inc
32   Dun & Bradstreet Corporation
33   Eli Lilly and Company
34   Embraer SA
35   Ericsson AB
36   Expro International Group PLC
37   Fedex Corporation
38   Freeport-McMoRan Copper & Gold Inc
39   Fresenius Medical Care AG & Co KGaA
40   General Cable Corporation
41   GlaxoSmithKline PLC
42   Gold Fields Limited
43   Goldman Sachs Group Inc
44   Goodyear Tire and Rubber Company
45   Grifols SA (Talecris Biotherapeutics Holdings Corp)
46   Halliburton Company
47   Harris Corporation
48   Hyperdynamics Corporation
49   Image Sensing Systems Inc
50   Ingersoll-Rand PLC
51   International Business Machines Corporation
52   Johnson Controls Inc
53   JPMorgan Chase & Co
54   Juniper Networks
55   Key Engery Services Inc
56   Kimco Realty Corporation
57   KKR & Company LP
58   Las Vegas Sands Corp
59   Layne Christensen Company
60   Mead Johnson Nutrition Company
61   Merck & Co Inc
62   Microsoft Corporation
63   MondelÄ“z International Inc (formerly Kraft Foods Inc)
64   Morgan Stanley
65   Motorola Solutions Inc
66   MTS Systems Corporation
67   National Geographic
68   NCR Corporation
69   Net 1 UEPS Technologies Inc
70   News Corporation
71   Nordion Inc
72   Novartis AG
73   Och-Ziff Capital Management Group LLC
74   Olympus Corp
75   Oracle Corporation
76   Orthofix International NV
77   Owens-Illinois Group Inc
78   Panasonic Corporation
79   PTC Inc
80   Park-Ohio Industries Inc
81   Protective Products of America Inc
82   Qualcomm Incorporated
83   Quanta Services Inc
84   Rolls Royce PLC
85   Sanofi SA
86   SBM Offshore NV
87   Sciclone Pharmaceuticals Inc
88   Sensata Technologies Holding NV
89   Siemens AG
90   SL Industries Inc
91   Smith & Wesson Holding Corporation
92   Société Générale SA
93   Sony Corporation
94   STR Holdings Inc
95   Tata Communications Limited
96   Tesco Corporation
97   TeliaSonera AB
98   Teva Pharmaceutical Industries Limited
99   UBS AG
100  Universal Entertainment Corp
101  Universal Music Group (Vivendi)
102  Viacom (Paramount Pictures)
103  VimpelCom Ltd
104  Wal-mart Stores Inc
105  Walt Disney Company
106  WS Atkins PLC (PBSJ Corp)

The list for end of 2013 is here and for the end of 2012 is here.

*     *     *

Countries involved in at least one on-going investigation include the following. Some companies don't disclose any countries where potential violations might have occurred, and many companies don't disclose all of the countries involved.

1    Angola
2    Argentina
3    Australia
4    Bangladesh
5    Belarus
6    Brazil
7    Canada
8    China
9    Croatia
10   Dominican Republic
11   DRC
12   Egypt
13   Equatorial Guinea
14   Georgia
15   Germany
16   Greece
17   Guinea
18   Hong Kong
19   India
20   Indonesia
21   Iran
22   Iraq
23   Italy
24   Jordan
25   Kazakhstan
26   Kenya
27   Kuwait
28   Lebanon
29   Libya
30   Mexico
31   Oman
32   Pakistan
33   Poland
34   Qatar
35   Romania
36   Russia
37   Saudi Arabia
38   Serbia
39   Slovakia
40   South Africa
41   Switzerland
42   Turkey
43   UAE
44   UK
45   Ukraine
46   Uzbekistan

__________

Richard L. Cassin is the publisher and editor of the FCPA Blog. He can be contacted here.