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« Report: FBI arrests VW compliance officer | Main | Deutsche Bank anti-financial crime chief quits after six months on the job »
Monday
Jan092017

The Corporate Investigations List (January 2017)

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

The names are current through December 31, 2016.

(Since then, Mondelēz International, Inc. has resolved FCPA allegations with the SEC.)

All entries are based on disclosures in SEC filings or on other self disclosures by non-issuers.

This is the seventh consecutive quarter when we based the list only on SEC filings or public self disclosures by non-issuers.

Earlier lists had included some companies based on media reports. Because so many of those reports turned out to be false, we now include only companies that have made SEC or other self disclosures about pending investigations.

Some companies on the list have disclosed both DOJ and SEC investigations and a declination 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 usually 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, don't appear on our list.

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

In addition to the 80 companies on the list, the researcher is tracking 107 others suspected to be the target of an ongoing FCPA investigation. Because those companies haven't made a public disclosure about an investigation, we've omitted them.

Here are the 80 companies on the corporate investigations list as of December 31, 2016:

1    ABM Industries Incorporated
2    Aegerion Pharmaceuticals Inc
3    Affinia Group Intermediate Holdings Inc
4    Alere Inc
5    Alexion Pharmaceuticals Inc
6    Amaya Inc
7    Barclays PLC
8    Beam Inc
9    Bilfinger SE
10  Brookfield Asset Management Inc
11  CEMEX SAB de CV
12  Centrais Elétricas Brasileiras SA - Eletrobrás
13  Cobalt International Energy Inc
14  Cognizant Technology Solutions Corporation
15  Core Laboratories NV
16  Crawford & Company
17  Delphi Automotive PLC
18  Deutsche Bank AG
19  Elbit Imaging Ltd
20  Eni SpA
21  Ensco PLC
22  Exterran Corporation
23  Flowserve Corporation
24  FMC Technologies Inc
25  Frank's International NV
26  Fresenius Medical Care AG & Co KGaA
27  Goldman Sachs Group Inc
28  Halliburton Company
29  Herc Holdings Inc
30  Hertz Global Holdings Inc
31  Hines Interests Limited Partnership
32  HSBC Holdings PLC
33  Innodata Inc
34  International Business Machines Corporation
35  iRhythm Technologies Inc
36  Juniper Networks Inc
37  KBR Inc
38  Keppel Corporation Limited
39  Kimco Realty Corporation
40  Kinross Gold Corporation
41  Laureate Education Inc
42  Lennox International Inc
43  LM Ericsson Telephone Company
44  Merck & Co Inc
45  Millicom International Cellular SA
46  Misonix Inc
47  Mobile Telesystems PJSC
48  Mondelēz International, Inc.
49  MTS Systems Corporation
50  NCR Corporation
51  Net 1 UEPS Technologies Inc
52  NewMarket Corporation
53  Newmont Mining Corporation
54  Orthofix International NV
55  Park-Ohio Industries Inc
56  Petrofac PLC
57  Petróleo Brasileiro SA - Petrobras
58  Platform Specialty Products Corporation
59  Quad/Graphics Inc
60  Rio Tinto PLC
61  Rolls Royce PLC
62  Roust Corporation
63  Sanofi SA
64  SBM Offshore NV
65  Sensata Technologies Holding NV
66  Sevan Marine ASA
67  SL Industries Inc
68  Sociedad Quimica y Minera de Chile SA
69  Sweett Group PLC
70  Tata Communications Limited
71  Technip SA
72  TeliaSonera AB
73  The Dun & Bradstreet Corporation
74  Transocean Ltd
75  Unaoil SAM
76  United Technologies Corporation
77  Vantage Drilling Company
78  Wal-Mart Stores Inc
79  Wynn Resorts Limited
80  Zimmer Biomet Holdings Inc

____

Richard L. Cassin is the publisher and editor of the FCPA Blog.

Reader Comments (6)

Does anyone know why VW is not on the list?
January 9, 2017 | Unregistered CommenterProf. Paul Moxey
Only companies that have self disclosed an FCPA investigation appear on the list. Are you aware of an FCPA-related disclosure by VW?
January 9, 2017 | Registered CommenterRichard L. Cassin
Why isn't Stryker on list for failure to report adverse events...
Knee pain implant failure
January 9, 2017 | Unregistered CommenterSandy
Would it be possible for someone to add the year (years, if multiple) disclosed for each of these? It is interesting to see how long it takes for some of these entities to reach an agreement or to conclude their investigation? (i.e. HAL since 2010 or Walmart since 2011, etc.)
January 9, 2017 | Unregistered CommenterM. Hernandez
This is a list only of self-disclosed FCPA-related investigations. It doesn't cover any other adverse events.
January 9, 2017 | Registered CommenterRichard L. Cassin
Are all these 81 companies still under investigation?
January 12, 2017 | Unregistered CommenterSteve
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