Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Bill Steinman
Contributing Editor

The FCPA Docket (February 2015)

The following summarizes the “FCPA Docket” for individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, sentencings, and pending appeals. This information is current as of February 24, 2015.

FCPA-Related Ongoing Prosecutions

  • Juthamas Siriwan and Jittsopa Siriwan (CDCA 09-81): The DOJ charged Juthamas Siriwan, the former Governor of the Tourism Authority of Thailand, and her daughter Jittsopa on January 28, 2009. On November 19, 2014, an extradition status hearing for the defendants was postponed at the DOJ’s request after prosecutors revealed that authorities in Thailand have agreed to indict Juthamas Siriwan for the same underlying conduct. (Note: Siriwans were not charged with any FCPA counts, but were the alleged recipients of bribes paid by film producers Gerald and Patricia Green).
  • Elek Straub, Andras Balogh, and Tamas Morvai (SDNY 11-9645): The SEC charged 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, on December 29, 2011. The three executives lost a motion to dismiss the charges against them in February 2013. All of the defendants are at large and are non-U.S. nationals who currently live abroad and may require extradition in order to be tried. No trial date has yet been scheduled. 
  • Tomas Alberto Clarke Bethancourt, Iuri Rodolfo Bethancourt, Jose Alejandro Hurtado,Haydee Leticia Pabon, Joseph DeMeneses and Benito Chinea (SDNY 13-3074): The SEC charged Clarke Bethancourt, the former Executive Vice-President for Direct Access Partners (DAP), 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, under seal on March 12, 2013. The SEC then added DeMenses, a managing partner, and Chinea, the firm’s CEO, to the civil complaint on April 14, 2014. The civil case against these individuals is stayed pending related criminal proceedings (see Pending Sentencings below). (Note: In contrast to the DOJ, the SEC charged the DAP-related defendants with only non-FCPA counts).
  • Jald Jensen (NDOK 12-06): The DOJ charged Jensen, a former Sales Manager of Bizjet International, along with Bernd Kowalewski, the former CEO of Bizjet, on April 5, 2013. Kowalewski, who pled guilty in July 2014, was sentenced to time served on November 18, 2014. No trial date is currently scheduled for Jensen, and he appears to be living outside of the United States.
  • Dmitry Firtash, Andras Knopp, Suren Gevorgyan, Gajebdra Lal, Periyasamy Sunderalingam, and KVP Ramachandra Rao (NDIL 13-515). The DOJ charged the defendants, all non-U.S. nationals, under seal in June 20, 2013 (unsealing the charges on April 2, 2014). Firtash, a Ukrainian national, was arrested in March 2014 and released after posting $174 million bail. According to the indictment, Firtash controls the Group DF, which was named but not charged, along with other companies associated with Firtash. He is awaiting extradition proceedings. The other five defendants are at large, and and no trial dates are currently scheduled. (Note: Rao, a Member of Parliament in India, was not charged with an FCPA offense). 
  • Lawrence Hoskins (DCCN 12-238): The DOJ charged Hoskins, the former Senior Vice-President of Alstom Asia, in a superseding indictment against Pomponi, the former Vice-President of Regional Sales for Alstom SA’s U.S.-subsidiary, on July 30, 2013. While Pomponi pleaded guilty on July 17, 2014 (see Pending Sentencings below), Hoskins sought to have the charges against him dismissed.  Hoskins’ motion to dismiss was denied on December 30, 2014, and no trial date has yet been scheduled. 
  • Alain Riedo (SDCA 13-3789): The DOJ charged Riedo, the former Vice-President and General Manager of Maxwell Technologies’ wholly owned Swiss subsidiary, on October 15, 2013, and an arrest warrant was issued the same day. Riedo, a non-U.S. national, is currently at large and living abroad. No trial date has yet been scheduled.
  • Joseph Sigelman (DCNJ 14-65; DCNJ 14-263): The DOJ charged Sigelman, the former co-CEO of PetroTiger Ltd., in a sealed complaint on November 8, 2013, along with co-CEO Knut Hammarskjold, who pleaded guilty on February 4, 2014 (see Pending Sentencings below). Sigelman’s trial is currently scheduled for April 20, 2015.
  • Dmitrij Harder (EDPA 15-1): The DOJ charged Harder, the former owner and president of the Chestnut Group, on January 6, 2015. Harder’s trial date is currently scheduled for June 11, 2015.

FCPA-Related Fugitives:

  • Han Yong Kim (CDCA 09-77): The DOJ charged Kim, the former president of CCI’s Korean office, on April 8, 2009. Kim, a non-U.S. national, has been challenging his fugitive status in attempt to contest his indictment without surrendering to U.S. authorities. The Ninth Circuit rejected his challenge in April 2014. The South Korean government has reportedly refused requests to extradite Kim because it does not consider the individuals Kim is accused of bribing to be public officials. Kim remains a fugitive.
  • Washington Vasconez Cruz, Cecilia Zurita, and Amadeus Richers (SDFL 09-21010): The DOJ initially charged Cruz, Zurita, and Richers, all executives with the telecommunications companies Uniplex Telecom Technologies and Cinergy Telecommunications Inc., in 2011, and issued a superseding indictment in 2012. Numerous other individuals have been convicted in connection with this matter, including former co-defendants Joel Esquenazi and Carlos Rodriguez, who unsuccessfully appealed their 2011 convictions to the U.S. Court of Appeals for the Eleventh Circuit. Cruz, Zurita, and Richers were declared fugitives on March 7, 2013.
  • Enrique Faustino Aguilar Noriega (CDCA 10-1031): Noriega was the Director of Grupo Internacional de Asesores SA, a sales agent hired by Lindsay Manufacturing.  The DOJ charged Noriega in 2010, along with Lindsay Manufacturing and several other defendants. While Linsday Manufacturing and all other individuals charged in connection with this case have had the charges against them dropped, Noriega’s case is still listed as open. Although the United States has reportedly ended its efforts to extradite Noriega, he remains a fugitive.
  • James Tillery (SDTX 08-22): The DOJ charged Tillery, a former executive for Willbros International Inc., in 2008. 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. The status of U.S. efforts to extradite Tillery is unclear. Tillery remains a fugitive.
  • Edgar Valverde Acosta (SDFL 06-20797): The DOJ charged Acosta, the President of Alcatel de Costa Rica and Senior Country Officer for Alcatel Lucent SA in Central America, in 2006. Acosta is considered a fugitive.
  • Victor Kozeny (SDNY 05-518): The DOJ charged Kozeny, a Czech-born investor, in 2005. The United States attempted to extradite Kozeny from the Bahamas for years; however, the Bahamanian Privy Council, the country’s court of last resort, rejected the U.S. extradition request on March 28, 2012. Kozeny remains a fugitive. 
  • Pablo Barquero Hernandez (WDMO 01-190): The DOJ charged Hernandez, a former employee of Owl Securities and Investment Ltd., in 2001. Hernandez is considered a fugitive.   
  • Rami Dotan and Harold Katz (SDOH 194-29): The DOJ charged Dotan, an Israeli Air Force officer, and Katz, an Israeli lawyer, in 1994. Dotan and Katz are considered fugitives. 
  • Joaquin Pou (SDFL 89-802): The DOJ charged Pou, a former agent for AEA Aircraft Recovery, in 1989. Pou is considered a fugitive.  
  • Frerik Pluimers (NJ 98-240): The DOJ charged Pluimers, the former President and CEO of Saybolt International, in 1988. Pluimers is considered a fugitive.
  • Ricardo Beltran and Mario Gonzalez (SDTX 82-224): The DOJ charged Beltran and Gonzalez, both associated with Grupo Industrial Delta, S.A., in 1982. Beltran and Gonzalez are considered fugitives.

FCPA-Related Pending Sentencings

  • Jose Alejandro Hurtado (SDNY 13-673): The DOJ charged Hurtado, a “back office” employee at DAP, under seal on March 12, 2013 (charges that were unsealed on May 7, 2013). Hurtado pleaded guilty on August 30, 2013, and his sentencing is currently scheduled for March 3, 2015.
  • Joseph DeMeneses and Benito Chinea (SDNY 14-340): The DOJ charged Chinea, CEO of DAP, and DeMeneses, a Managing Partner, on April 10, 2014. Chinea and DeMeneses pleaded guilty on December, 17, 2014, and their sentencing is currently scheduled for March 27, 2015.
  • William Pomponi (DCCN 12-238): The DOJ initially charged Pomponi, the former Vice-President of Regional Sales for Alstom SA’s U.S.-subsidiary, on April 30, 2013, and then issued a superseding indictment adding Lawrence Hoskins, the former Senior Vice-President of Alstom Asia, on July 30, 2013. Pomponi initially pleaded not guilty on May 3, 2013, but then changed his plea to guilty on July 17, 2014.  Pomponi’s sentencing has not yet been scheduled, and all deadlines in his case have been terminated, presumably pending the prosecution of Hoskins (see Ongoing Prosecutions above). 
  • Frederic Pierucci (DCCN 12-238): The DOJ charged Pierucci, the former Vice-President of Global Sales for Alstom USA, on November 27, 2012.  Pierucci pleaded guilty on July 29, 2013.  His sentencing was originally scheduled for October 25, 2013, but on that date all deadlines and hearings on the docket were terminated, presumably pending the prosecutions of Pomponi (see above) and Hoskins (see Ongoing Prosecutions above).
  • Tomas Alberto Clarke Bethancourt (SDNY 13-670): The DOJ charged Bethancourt, the former Executive Vice-President of DAP’s Global Markets Group, in May 2013.  Bethancourt pleaded guilty in August 2013, and his sentencing, originally scheduled for February 14, 2014, has not yet been rescheduled.  
  • Ernesto Lujan (SDNY 13-671): The DOJ charged Lujan, the Managing Partner of DAP Global, on June 10, 2013. Lujan pleaded guilty on August 30, 2013, and his sentencing has not yet been scheduled.
  • David Rothschild (DCCN 12-223): The DOJ charged Rothschild, the former Vice President of Sales of Alstom USA, on November 2, 2012. Rothschild pleaded guilty on the same day, but his settlement was not unsealed until April 15, 2013. His sentencing has not yet been scheduled.
  • Gregory Weisman (DCNJ 13-730): The DOJ charged Weisman, the former General Counsel of PetroTiger, on November 8, 2013, and he pleaded guilty the same day.  Weisman’s settlement was unsealed on January 7, 2014.  His sentencing has not yet been scheduled and is likely to be delayed until the conclusion of the Sigelman trial (see Ongoing Prosecutions above).
  • Knut Hammarskjold DCNJ 14-65): The DOJ charged Hammarskjold, the former co-CEO of PetroTiger, on November 8, 2013. Hammarskjold pleaded guilty in February 2014, and his sentencing has been delayed until the conclusion of the Sigelman trial (see Ongoing Prosecutions above).

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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 2015. Karen Polk is an Assistant Librarian at Miller & Chevalier.

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