The FCPA Docket (February 2014)

The list below tracks the current “FCPA Docket” for individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, pending sentencings, and pending appeals. This information is current as of February 14, 2014.

 

FCPA-Related Ongoing Prosecutions

• Han Yong Kim (CDCA 09-77): Ongoing DOJ prosecution. Kim, the  the former President of Control Component Inc.’s Korean office, was charged in 2009. 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.

• Juthamas Siriwan and Jittsopa Siriwan (CDCA 09-81): Ongoing DOJ prosecution. Juthamas Siriwan, the former Governor of the Tourism Authority of Thailand, and her daughter Jittsopa, were charged in January 2010. A hearing on the defendants’ motion to dismiss is currently set for March 20, 2014. (Note: Siriwans were not charged with any FCPA counts, but were the recipients of bribes paid by film producers Gerald and Patricia Green).

• Ulrich Bock and Stephan Signer, (SDNY 11-9073): Ongoing SEC prosecution. Bock, the former Commercial Head of Projects for Siemens Business Services, and Signer, Bock’s successor, were charged on December 13, 2011. On February 5, 2014, the Court entered default judgments against Bock and Signer, non-U.S. nationals living outside the United States. The charges brought against Bock and Signer’s five co-defendants have been dismissed or settled (see also DOJ ongoing prosecution bullet below).

• Uriel Sharef, Herbert Steffen, Andres Truppel, Ulrich Bock, Stephan Signer and Eberhard Reichert, Carlos Sergi and Miguel Czysch (SDNY 11-1056):  Ongoing DOJ prosecution. The defendants, all former senior executives with or agents of Siemens AG or one of its subsidiaries, were charged in December 13, 2011. All of the defendants are non-U.S. nationals who currently live abroad and may require extradition in order to be tried. No trial date is currently set (see also SEC prosecution bullet above).

• Elek Straub, Andras Balogh, and Tamas Morvai (SDNY 11-9645): Ongoing SEC prosecution. Straub, the former Chairman and CEO of Magyar Telekom Plc, Balogh, the former Director Central Strategic Organization, and Morvai, the former Director of Business Development and Acquisitions, were charged on December 29, 2011. The three executives lost a motion to dismiss the charges against them in February 2013. No trial date is currently set.

• Mark A. Jackson and James J. Ruehlen (SDTX 12-563): Ongoing SEC prosecution. Jackson, the former CEO of Noble Corp., and Ruehlen, the Director and Division Manager of Noble Nigeria, were charged February 24, 2012. 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 July 9, 2014.

• Bernd Kowalewski and Jald Jensen (NDOK 12-07; NDOK 12-06):  Ongoing DOJ prosecution. Kowalewski, the former CEO of Bizjet International Sales and Security, Inc., and Jensen, a former Sales Manager, were charged April 5, 2013. No trial date is currently set, and neither man is believed to be living in the U.S.

• William Pomponi and Lawrence Hoskins (DCCN 12-238): Ongoing DOJ prosecution. Pomponi, the former Vice-President of Regional Sales for Alstom SA’s US-subsidiary, was charged on April 30, 2013. Hoskins, the former Senior Vice-President of Alstom Asia, was charged on July 30, 2013. Pomponi pled not guilty on May 3, 2013, and has a trial scheduled for June 16, 2014. Hoskins has neither pled guilty nor is he scheduled for trial.

• Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado and Haydee Leticia Pabon (SDNY 13-3074): Ongoing SEC prosecution.  Clarke Bethancourt, the former Executive Vice-President of Direct Access Partners’ (DAP) Global Markets Group, and Hurtado, a “back office” employee, Rodolfo Bethancourt, President of ETC Investment SA, and Pabon, Director for International Sales for distributor of Venezuelan cable programs, were charged on May 7, 2013.  The civil case against these individuals is stayed pending related criminal proceedings (see Pending Sentencings section below). (Note: Unlike the DOJ, the SEC did not charge the DAP-related defendants with any FCPA counts).

• Alain Riedo (SDCA 13-3789): Ongoing DOJ prosecution. Riedo, the former Vice-President and General Manager of Maxwell Technologies’ wholly owned Swiss subsidiary, was charged and an arrest warrant issued on October 15, 2013.  He is currently at-large.

• Knut Hammarskjold and Joseph Sigelman (DCNJ 13-2086; DCNJ 13-2087): Ongoing DOJ prosecution. Hammarskjold and Sigelman, the former co-CEOs of PetroTiger Ltd., were charged in a sealed complaint November 8, 2013. No trial date is currently set.

FCPA-Related Fugitives:

• Ricardo Beltran and Mario Gonzalez (SDTX 82-224): Associated with Grupo Delta. Charged by the DOJ in 1982. Beltran and Gonzalez are currently fugitives.

• Frerik Pluimers (NJ 98-240): Former President and CEO of Saybolt International. Charged by the DOJ in 1988. Pluimers is currently a fugitive.

• Joaquin Pou (SDFL 89-802): Former agent for AEA Aircraft Recovery. Charged by the DOJ in 1989. Pou is currently a fugitive.  

• Rami Dotan and Harold Katz (SDOH 194-29): An Israeli air force office and Israeli lawyer, respectively. Charged by the DOJ in 1994. Dotan and Katz are currently fugitives.  

• Pablo Barquero Hernandez (WDMO 01-190): Former employee of Owl Securities and Investment Ltd. Charged by the DOJ in 2001. Hernandez is currently a fugitive.   

• Victor Kozeny (SDNY 05-518): Czech-born investor. Charged by the DOJ in 2005. Currently a fugitive. The 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) rejected the extradition request on March 28, 2012. Kozeny remains a fugitive. 

• Edgar Valverde Acosta (SDFL 06-20797): President of Alcatel de Costa Rica and Senior Country Officer for Alcatel Lucent SA in Central America. Charged by the DOJ in 2006. Acosta is currently a fugitive.

• James Tillery (SDTX 08-22): Former executive for Willbros International Inc. Charged by the DOJ in 2008. The United States is attempting to extradite Tillery from Nigeria, where Nigerian courts are currently 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. Tillery remains a fugitive.

• Enrique Faustino Aguilar Noreiga (CDCA 10-1031): Director of Grupo Internacional de Asesores SA, which was hired by Lindsay Manufacturing as a sales agent. Charged by the DOJ in 2010. Linsday Manufacturing and 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. While the United States has reportedly ended its efforts to extradite Noriega, he remains a fugitive.

• Washington Vasconez Cruz, Cecilia Zurita, and Amadeus Richers (SDFL 09-21010 Cruz, Zurita, and Richers were executives with the telecommunications companies Uniplex Telecom Technologies and Cinergy Telecommunications Inc. Cruz, Zurita, and Richers were initially charged in 2011, with a superseding indictment issued in 2012.  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 Pending Appeals section below). Cruz, Zurita, and Richers were declared fugitives on March 7, 2013.

FCPA-Related Pending Sentencings

• Joshua Cantor (SDNY 01-687): Cantor, the former President of American Bank Note Holographics Inc. (ABNH), and former Executive Vice-President of ABNH’s parent, American Banknote Corporation, was charged and pled guilty to FCPA-related charges in July 2001.  He was initially scheduled to be sentenced in 2003, but has had his sentencing postponed repeatedly over the years. His sentencing is currently scheduled for March 18, 2014.

• Jose Alejandro Hurtado (SDNY 13-673): Hurtado, a “back office” employee at DAP, was charged in May 2013 and pled guilty in August 2013.  His sentencing is scheduled for October 14, 2014.

• Tomas Alberto Clarke Bethancourt (SDNY 13-670): Clarke Bethancourt, the former Executive Vice-President of DAP’s Global Markets Group, was charged in May 2013 and pled guilty in August 2013. His sentencing was scheduled for February 14. 2014.  However, according to a document filed in the SEC’s case (see Ongoing Prosecutions above), the sentencing will likely be delayed for at least six months.

• Ernesto Lujan (SDNY 13-671): Lujan, the Managing Partner of DAP Global, was charged in June 2013 and pled guilty in August 2013.  His sentencing was scheduled for February 14, 2014.  However, according to a document filed in the SEC’s case (see Ongoing Prosecutions above), the sentencing will likely be delayed for at least six months.

• Frederic Pierucci (DCCN 12-238): Pierucci, the former Vice-President of Global Sales for Alstom USA, was charged and pled guilty in July 2013.  His sentencing was originally scheduled for October 25, 2013, but on that date all deadlines and hearings on the docket were terminated.

• David Rothschild (DCCN 12-223): Rothschild, the former Vice President of Sales of Alstom USA, was charged and pled guilty to FCPA-related charges on November 2, 2012. Rothschild’s settlement was unsealed on April 15, 2013.  His sentencing has not yet been scheduled.

• Gregory Weisman (DCNJ 13-730): Weisman, the former General Counsel of PetroTiger, was charged and pled guilty to FCPA-related charges in November 2013. Weisman’s settlement was unsealed on January 7. 2014.  His sentencing has not yet been scheduled.

FCPA-Related Pending Appeals

• Joel Esquenazi and Carlos Rodriguez (SDFL 09-21010; 11th Cir. 11-15331): Esquenazi and Rodriguez, the former President and Vice-President of Terra Telecommunications Inc., were charged in Dec. 2009 and convicted at trial in August 2011.  On October 25, 2011, the pair was sentenced to 15 years and 7 years, respectively.  They appealed their convictions to the US Court of Appeals for the 11^th Circuit. Oral argument in the case was held on October 11, 2013, and a decision is expected in year.

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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 2014. Karen Polk is an Assistant Librarian at Miller & Chevalier.