The FCPA Docket (February 2013)

With the assistance of Karen Polk (Miller & Chevalier’s librarian), our firm tracks the active “FCPA Docket” involving individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, sentencings, and pending appeals. This information is current as of February 4, 2013.

FCPA-Related Ongoing Prosecutions:

• Han Yong Kim (CDCA 09-77): Ongoing DOJ prosecution. No trial date is currently set.  All other individuals charged in connection with the CCI case have been convicted and sentenced or are awaiting sentencing. (2009 – CCI).

• (2) Mark A. Jackson and James J. Ruehlen (SDTX 12-563): Ongoing SEC prosecution. On December 12, 2012, the Court issued a memorandum and order granting in part and denying in part the defendants’ motions to dismiss. A jury trial is currently set for April 28, 2014. (2012 – Noble).

• (2) Juthamas Siriwan and Jittsopa Siriwan (CDCA 09-81): Ongoing DOJ prosecution. No trial date is currently set.  A hearing on the defendants’ motion to dismiss is currently set for February 21, 2013.  (Note: Siriwans were not charged with any FCPA counts). (2009 – Thai Film Festival).

• (4) Washington Vasconez Cruz, Cecilia Zurita, Amadeus Richers and Marguerite Grandison (SDFL 09-21010): Ongoing DOJ prosecution. No trial date is currently set. Cruz, Zurita, and Richers are reportedly fugitives. Numerous other individuals have been convicted in connection with this matter, including former co-defendants Joel Esquenazi and Carlos Rodriguez, who have appealed their 2011 convictions to the U.S. Court of Appeals for the Eleventh Circuit (see below). (Note: Grandison was not charged with any FCPA counts). (2011 – Haiti Teleco).

• (3) Elek Straub, Andras Balogh, and Tamas Morvai (SDNY 11-9645): Ongoing SEC prosecution. No trial date is currently set. An oral argument on the defendants’ joint motion to dismiss was held on January 17, 2013. (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. On December 13, 2012, Andres Truppel appeared before an Argentine court and opposed a request by the United States to him. On October 12, 2012, the filing dates for Sharef were suspended pending settlement discussions. Also on October 12, 2012, Steffen filed a motion to dismiss, which the government opposed on November 12, 2012, and Steffen filed a reply to on December 6, 2012. All of the defendants are non-U.S. nationals who currently live abroad and may require extradition in order to be tried. (2011 – Siemens).

• (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 (see SEC prosecution bullet above). 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 Fugitives (in addition to those listed above):

• (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 – AEA Aircraft Recovery).

• (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).

• Victor Kozeny (SDNY 05-518): Charged by the DOJ in 2005. Currently a fugitive. United States has been attempting to extradite Kozeny from the Bahamas for years. On February 23, 2011, the Bahamas’ court of last resort (the U.K. Privy Council) accepted jurisdiction over the case and ruled against jurisdiction on March 28, 2012. (2005 – Kozeny/Bourke).

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

• Roy Fearnley (SDTX 07-1408): Charged by the SEC alongside Baker Hughes in 2007. Currently a fugitive. (2007 – Baker Hughes).

• James Tillery (SDTX 08-22): Charged by the DOJ in 2008. Currently a fugitive. United States is 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 released. Nigerian police, however, reportedly refused to comply with this request. (2008 –Willbros).

• Enrique Faustino Aguilar Noreiga (CDCA 10-1031): Charged by the DOJ in 2010. Currently a fugitive. All other individuals charged in connection with this case have had the charges against them dropped, but Noreiga’s case is still listed as open. (2010 – Lindsay Manufacturing).

FCPA-Related Sentencings:

• Clayton Lewis (SDNY 03-930): Sentencing is currently scheduled for February 27, 2013. (2004 – Bourke/Kozeny).

• Mario Covino (CDCA 08-336): Sentencing is currently scheduled for March 11, 2013. On February 1, 2013, prosecutors recommended that Covino be sentenced to probation in recognition of his significant cooperation. (2009 – CCI).

• Richard Morlok (CDCA 09-05): Sentencing is currently scheduled for March 11, 2013. On February 1, 2013, prosecutors recommended that Morlok be sentenced to probation in recognition of his significant cooperation. (2009 – CCI).

• Flavio Ricotti (CDCA 09-77): Sentencing is currently scheduled for March 18, 2013. On February 1, 2013, prosecutors recommended that Ricotti, who spent 11 months in federal custody following his 2010 arrest, be sentenced to time served in recognition of his significant cooperation. (2011 – CCI).

• Paul G. Novak (SDTX 08-22): Sentencing scheduled for May 3, 2013. (2009 – Willbros).

• 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).  

• 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).

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 2^nd Circuit on December 14, 2011. The court denied a petition for rehearing on July 27, 2012.  Petition for Certiorari was filed at the U.S. Supreme Court on October 25, 2012 (Docket 12-531).  Response to the petition is due February 1, 2013.  Bourke also filed another 2nd Circuit appeal (11-5390) concerning newly discovered evidence.  That was denied on November 28, 2012; news reports at the time indicated that he intended to file for a rehearing en banc. (2005 – Kozeny/Bourke).

• (2) Joel Esquenazi and Carlos Rodriguez (SDFL 09-21010; 11th Cir. 11-15331): Sentenced on October 25, 2011. Appealed to 11^th Circuit.  Briefs filed May 9, 2012; reply briefs filed October 4, 2012.  Assigned to tentative calendar number 20 in Miami during week of April 8, 2013. (2011 – Haiti Telecom).

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Marc Alain Bohn is a contributing editor of the FCPA Blog and an editor of Miller & Chevalier’s FCPA Winter Review 2013.