The FCPA Docket (January 2012)

By Marc Alain Bohn and Karen Polk

Here's an overview of ongoing FCPA-related: (a) individual prosecutions; (b) pending sentencings, appeals, and extraditions; and (c) at-large fugitives.

It's current through January 9, 2012.

_____________________

Ongoing FCPA-Related Prosecutions of Individuals

• (5) John M. Mushriqui, Jeana Mushriqui, R. Patrick Caldwell, John Gregory Godsey and Mark Frederick Morales (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. Trial began on September 26, 2011, and is still underway. Sole charge against former co-defendant Stephen G. Giordanella dropped on December 22, 2011, following presentation of prosecution’s case. (2010 - Africa Sting).

• John Joseph O'Shea (SDTX 09-629): Ongoing DOJ prosecution. Trial date currently set for January 10, 2012.  Motion to dismiss indictment based on “foreign official” issue denied on January 3, 2012. (2009 - ABB).

• (4) Amaro Goncalves, Ofer Paz, Israel Weisler and Michael Sacks (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. Trial date currently set for February 21, 2012. (2010 - Africa Sting). 

• (2) David R. Painter and Lee M. Wares (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. Trial date currently set for May 12, 2012. (2010 - Africa Sting).

• (4) Pankesh Patel, John Benson Wier III, Andrew Bigelow, and Lee Allen Tolleson (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. Retrial date currently set for May 29, 2012. First trial ended in a mistrial on July 11, 2011. (2010 - Africa Sting).

• (5) Stuart Carson, Hong Carson, Paul Cosgrove, David Edmonds, and Han Yong Kim (CDCA 09-77): Ongoing DOJ prosecution. Trial date currently set for June 5, 2012.  Motion to dismiss indictment based on “foreign official” issue denied on May 18, 2011.  Co-defendant Flavio Ricotti pleaded guilty on April 28, 2011. Entire docket is currently sealed. (2009 - CCI).

• (2) Juthamas Siriwan and Jittsopa Siriwan (CDCA 09-81): Ongoing DOJ prosecution. No trial date currently set. Hearing on motion to dismiss indictment currently set for January, 26, 2012. (Note: Siriwans were not charged with an FCPA count). (2009 - Thai Film Festival).

• (5) Washington Vasconez Cruz, Amadeus Richers, Patrick Joseph, Jean Rene Duperval, and Marguerite Grandison (SDFL 09-21010): Ongoing DOJ prosecution. No trial date currently set.  Superseding indictment from July 13, 2011, added Cruz, Richers, Joseph and Cinergy Telecommunications.  Co-defendant Cinergy Telecommunications currently set to stand trial on February 27, 2012.  Other former co-defendants Joel Esquenazi and Carlos Rodrigues split from case on May 26, 2011, and tried separately. (Note: Joseph, Duperval, and Grandison were not charged with any FCPA counts). (2011 - Haiti Teleco).

• (8) Uriel Sharef, Herbert Steffen, Andres Truppel, Ulrich Bock, Stephan Signer and Eberhard Reichert, Carlos Sergi and Miguel Czysch (SDNY 11-1056): Ongoing DOJ prosecution. No trial date is currently set. All of the defendants are non-U.S. nationals who currently live abroad and may require extradition in order to be tried. (2011 - Siemens).

• Saul Mishkin (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. No trial date is currently set. (2010 - Africa Sting).

• Yochanan R. Cohen (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. No trial date is currently set. (2010 - Africa Sting).

• Helmie Ashiblie (DCDC: Docket now consolidated under 09-335): Ongoing DOJ prosecution. No trial date is currently set. (2010 - Africa Sting).

• (3) Elek Straub, Andras Balogh, and Tamas Morvai (SDNY 11-9645): Ongoing SEC prosecution. No trial date is currently set.  (2011 - Deutsche Telekom).

• (6) Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, and Andres Truppel (SDNY 11-9073): Ongoing SEC prosecution. No trial date is currently set.  All of the defendants are non-U.S. nationals who currently live abroad and may require extradition in order to be tried. (2011 - Siemens).

FCPA-Related Pending Sentencings

• Manuel Salvoch (SDFL 10-20893): Sentencing is currently scheduled for January 11, 2012. (2011 - Latin Node).

• Manuel Caceres (SDFL 10-20881): Sentencing is currently scheduled for January 30, 2012. (2011 - Latin Node).

• Juan Pablo Vasquez (SDFL 10-20894): Sentencing is currently scheduled for February 2, 2012. (2011 - Latin Node).

• Wojciech Chodan (SDTX 09-98): Sentencing is currently scheduled for February 2, 2012. (2010 - KBR).

• Jeffrey Tesler (SDTX 09-98): Sentencing is currently scheduled for February 2, 2012. (2011 - KBR).

• Albert (Jack) Stanley (SDTX 08-597): Sentencing is currently scheduled for February 3, 2012. (2008 - KBR).

• Clayton Lewis (SDNY 03-930): Sentencing is currently scheduled for February 6, 2012. (2004 - Bourke/Kozeny).

• Mario Covino (CDCA 08-336): Sentencing is currently scheduled for November 5, 2012. (2009 - CCI).

• Richard Morlok (CDCA 09-05): Sentencing is currently scheduled for November 5, 2012. (2009 - CCI).

• Flavio Ricotti (CDCA 09-77): Sentencing is currently scheduled for December 10, 2012. (2011 - CCI).

• Joshua Cantor (SDNY 01-687): Sentencing was last scheduled for December 6, 2006. No further information is available on the docket (2001 - ABNH).

• Thomas Farrell (SDNY 03-290): No sentencing date is currently on the docket. (2003 - Bourke/Kozeny).

• Hans Bodmer (SDNY 03-947): Sentencing was scheduled for February 17, 2011, but did not occur. No additional information available on the docket. (2004 - Bourke/Kozeny).

• Paul G. Novak (SDTX 08-22): Sentencing was scheduled for April 22, 2011, but did not occur. No additional information is available on the docket, but there are several sealed orders. (2009 - Willbros).

• Fernando Maya Basurto (SDTX 09-325): All sentencing information is currently sealed, so no current information is available from the docket. In the past, reports have suggested Basurto is to be sentenced following the end of the John Joseph O’Shea trial. (2009 - ABB).

• Jonathan M. Spiller (DCDC 09-350): No sentencing date is currently on the docket. (2011 - Africa Sting).

• Haim Geri (DCDC 09-342): No sentencing date is currently on the docket. (2011 - Africa Sting).

• Daniel Alvirez (DCDC 09-348): No sentencing date is currently on the docket. (2011 - Africa Sting).

• Richard T. Bistrong (DCDC 10-21): No sentencing date is currently on the docket. (2010 - Africa Sting).

Known FCPA-Related Pending Appeals

• Frederic Bourke (SDNY 05-518; 2nd Cir. 09-4704): Bourke was sentenced on November 12, 2009. His conviction was upheld by the 2nd Circuit on December 14, 2011. Initially ordered to surrender himself to U.S. Marshals on January 3, 2012, on December 28, 2011, Bourke was granted a 30-day extension to file a petition for re-hearing. (2005 - Kozeny/Bourke).

• William Jefferson (EDVA 07-209; 4th Cir. 09-5130): Sentenced on November 13, 2009. Currently out on bail pending appeal. Oral arguments were heard before the 4th Circuit on December 9, 2011. (2007 - Nigeria VP).

• (2) Joel Esquenazi and Carlos Rodriguez (SDFL 09-21010; 11th Cir. 11-15331): Sentenced on October 25, 2011. On December 29, 2011, Rodriquez motioned for release pending appeal. (2011 - Haiti Telecom).

• (3) Keith Lindsay, Steven Lee and Angela Gomez Aguilar (CDCA 10-1031; 9th Cir. 11-50507): Convictions against Lindsay and Lee were dismissed on November 29, 2011, due to prosecutorial misconduct.  Following the dismissal, the DOJ asked the court to vacate Aguilar’s conviction in the event that its appeal of the dismissal decision is denied. (2011 - Lindsay).

FCPA-Related Pending Extraditions

• Victor Kozeny (SDNY 05-518): United States is currently attempting to extradite Kozeny from the Bahamas. On February 23, 2011, the Bahamas’ court of last resort, the U.K. Privy Council, accepted jurisdiction.  If it reverses prior decisions preventing extradition, then Kozeny will be quickly extradited. (2005 - Kozeny/Bourke).

• James Tillery (SDTX 08-22): United States is currently attempting to extradite Tillery from Nigeria, where Nigerian courts are preventing his extradition. Tillery was reportedly arrested in Nigeria in 2010, but immigration officials prevented the FBI from extraditing him without proper documentation. A Nigerian court later found the initial arrest of Tillery to be illegal and ordered him release. Nigerian police, however, reportedly refused to comply with this request. (2008 - Willbros).

FCPA-Related Fugitives

• (2) Ricardo Beltran and Mario Gonzalez (SDTX 82-224): Charged by the DOJ in 1982. Currently fugitives. (1982 - Grupo Delta).

• Frerik Pluimers (NJ 98-240): Charged by the DOJ in 1988. Currently a fugitive. (1988 - Saybolt).

• Joaquin Pou (SDFL 89-802): Charged by the DOJ in 1989. Currently a fugitive. (1989 - Dominican Republic General).

• (2) Rami Dotan and Harold Katz (SDOH 194-29): Charged by the DOJ in 1994. Currently fugitives. (1994 - Israeli Procurement).

• Pablo Barquero Hernandez (WDMO 01-190): Charged by the DOJ in 2001. Currently a fugitive. (2001 - OSI).

• Edgar Valverde Acosta (SDFL 06-20797): Charged by the DOJ in 2006. Currently a fugitive. (2006 - Alcatel Lucent).

• Roy Fearnley (SDTX 07-129): Charged by the SEC alongside Baker Hughes in 2007. (2007 - Baker Hughes).

• Enrique Faustino Aguilar Noreiga (CDCA 10-1031): Charged by the DOJ in 2010. Currently a fugitive. If the DOJ’s appeal in the Lindsay case is denied, however, it is possible that charges against Noreiga could be dropped. (2010 - Lindsay Manufacturing).

 ____________________

Marc Alain Bohn is a senior associate with Miller & Chevalier and focuses on the FCPA, export controls and economic sanctions, and other international trade and policy issues.  He regularly assists companies in conducting internal investigations and developing tailored, forward-looking compliance programs with effective systems of internal control. Marc recently assisted with the publication of Miller & Chevalier's FCPA Winter Review 2012.

Karen Polk is a librarian at Miller & Chevalier and works closely with the firm's FCPA & International Anti-Corruption practice.

Miller & Chevalier is a premium-listed United States firm in the FCPA Database law firm directory.