Compilation of FCPA-related case citations and statutory references

05-1 1-goodyear-information.pdf. 23 See Complaint, SEC v. ABB, supra note 48; Criminal Information at 3, United States v. ABB Inc., No. 10-cr-664 (S.D. Tex. Sept. 29, 2010), ECF No. 1 [hereinafter United States v. ABB), available at http:// wwwjustice.gov/criminal/fraud/fcpa/cases/abb/09-20- 10abbinc-info. pdé; Constitucién Politica de los Estados Unidos Mexicanos [C.P.], as amended, art. 27, Diario Oficial de la Federacién [DO], 5 de Febrero de 1917 (Mex.); Ley Del Servicio Publico de Energia Electrica, as amended, art. 1-3, 10, Diario Oficial de la Federacién [DO], 22 de Diciembre de 1975 (Mex.). 24 See Indictment at 2, United States v. Esquenazi, supra note 44, ECF No. 3; Affidavit of Mr. Louis Gary Lissade at 1-9, id., ECF No. 417-2. 5 Criminal Information at 30-31, United States v. Alcatel-Lucent France, supra note 56, ECF No. 10. 126 Td. 7 See International Anti-Bribery and Fair Competition Act of 1998, Pub. L. 105-366 § 2, 112 Stat. 3302, 3303, 3305, 3308 (1998). 8 Section 30A(F)(1)(B) of the Exchange Act, 15 U.S.C. § 78dd-1(£) (1) (B); 15 US.C. §§ 78dd-2(h) (2)(B), 78dd-3 (f)(2)(B). ' Third parties and intermediaries themselves are also liable for FCPA violations. Section 30A (a) of the Exchange Act, 15 U.S.C. § 78dd-1(a); 15 US.C. §§ 78dd-2(a), and 78dd-3(a). ® Section 30A(a)(3) of the Exchange Act, 15 U.S.C. § 78dd-1 (a) (3); 15 US.C. §§ 78dd-2(a) (3), 78dd-3(a)(3). BI See, CL5 Complaint, SEC v. Johnson & Johnson, No. 11-cv-686 (D.D.C. Apr. 8, 2011) [hereinafter SEC v. Johnson & Johnson| (bribes paid through Greek and Romanian agents)), available at http: //wwwssec. gov/ litigation/ complaints/ 2011/comp21922. pdf; ; Criminal Information, United States v. DePuy, Inc., No. 11-cr-99 (D.D.c. Apr. 8, 201 1), ECF No. 1 [hereinafter United States v. DePuy] (bribes paid through Greek agents), available at http ://www.justice.gov/ criminal/fraud/ fepa/ cases/ depuy-inc/ 04-08-1 Idepuy-info.pdf; Complaint, SEC v. ABB, supra note 48 (bribes paid through Mexican agents); Criminal Information, United States v. ABB, supra note 123 (same); Criminal Information, United States v. Int’l Harvester Co., No. 82-cr-244 (S.D. Tex. Nov. 17, 1982) (bribes paid through Mexican agent), available at hetp:/ /www.justice. gov/ criminal/fraud/ fcpa/ cases/international-harvester/1982-11-17- international-harvester-information. pdf. 132 See Criminal Information, United States v. Marubeni Corp., No. 12- cr-22 (S.D. Tex. Jan. 17, 2012), ECF No. 1 [hereinafter United States v. Marubeni\, available at http ://www.justice.gov/ criminal/fraud/ fcpa/ cases/marubeni/2012-01- 17-marubeni-information.pdf; Criminal Information, United States v. ]GC Corp., supra note 60, ECF No. 1; Criminal Information, United States v. Snamprogetti, supra note 60, ECF No. 1; Complaint, SEC v. ENI, S.p.A. and Snamprogetti Netherlands BV., No. 10-cv-2414 (S.D. Tex. July 7, 2010), ECF No. 1, available at http ://www.sec.gov/litigation/complaints/20 10/comp-pr2010-1 19.pdf; Criminal Information, United States v. Technip S.A., No. 10-cr-439 (S.D. ‘Tex. June 28, 2010), ECF No. 1 [hereinafter United States v. Technip|, available at http ://www.justice.gov/ criminal/fraud/ fcpa/ cases/ technip- sa/06-28- 10-technip-%20information.pdf; Complaint, SEC v. Technip, No. 10-cv-2289 (S.D. Tex. June 28, 2010), ECF No. 1 [hereinafter SEC v. Technip|, available at http ://www.sec.gov/litigation/complaints/20 10/ comp-pr2010-1 10.pdf; Indictment, United States v. Tesler, supra note 50; Complaint, SEC v. Halliburton and KBR, supra note 90; Criminal Information, United States v. KBR, supra note 90; Criminal Information, United States v. Stanley, No. 08-cr-597 (S.D. Tex. Sept. 3, 2008), ECF No. 1, available at http ://justice.gov/ criminal/fraud/ fepa/ cases/, stanleya/ 08- 29-08stanley-info.pdf. 133 See Criminal Information, United States v. AGA Medical Corp., No. 08-cr-172, ECF No. 1 (D. Minn. June 3, 2008), available at http://www. justice.gov/criminal/fraud/fepa/cases/agamedcorp/06-03-08aga-info. df. ta Complaint, SEC v. Innospec, supra note 79; Criminal Information, United States v. Innospec, supra note 79; Superseding Criminal Information, United States v. Naaman, supra note 50, ECF No. 15, available at http ://www.justice.gov/ criminal/fraud/ fcpa/ cases/ naamano/06-24- 10naaman-supsersed-info.pdf; Complaint, SEC v. Turner, supra note 50. '5 See sources cited supra note 68. 138 See sources cited supra note 68, '87 Section 30A(a)(3) of the Exchange Act, 15 U.S.C. § 78dd-1 (a) (3); 15 Endnotes US.C. §§ 78dd-2(a)(3), 78dd-3(a) (3). 88 See Section 30A(f)(2)(A) of the Exchange Act, 15 US.C. § 78dd-1(f) (2) (A); 15 US.C. §§ 78dd-2(h)(3)(A), 78dd-3(£)(3) (A). 8? See Section 30A(f)(2)(B) of the Exchange Act, 15 US.C. § 78dd-1(F) (2)(B); 15 US.C. §§ 78dd-2(h)(3)(B), 78dd-3(£)(3)(B). The “knowing” standard was intended to cover “both prohibited actions that are taken with ‘actual knowledge’ of intended results as well as other actions that, while falling short of what the law terms ‘positive knowledge; nevertheless evidence a conscious disregard or deliberate ignorance of known circumstances that should reasonably alert one to the high probability of violations of the Act.” H.R. Rep. No. 100-576, at 920; see also Omnibus Trade and Competitiveness Act of 1988, Pub. L. No. 100- 418, § 5003, 102 Stat. 1107, 1423-24 (1988). MOHLR. Rep. No. 100-576, at 920 (1988). 1 Section 30A(c)(1) of the Exchange Act, 15 US.C. § 78dd-1(c) (1); 15 US.C. §§ 78dd-2(c)(1), 78dd-3(c)(1). “HR. Rep. No. 100-576, at 922. The conferees also noted that “[i]n interpreting what is lawful under the written laws and regulations’ ... the normal rules of legal construction would apply.” Jd. 143 See United States v. Kozeny, 582 FE Supp. 2d 535, 537-40 (S.D.NY. 2008). Likewise, the court found that a provision under Azeri law that relieved bribe payors of criminal iability if they were extorted did not make the bribe payments legal. Azeri extortion law precludes the prosecution of the payor of the bribes for the illegal payments, but it does not make the payments legal. Jd. at 540-41. “Section 30A(c)(2)(A), (B) of the Exchange Act, 15 US.C. § 78dd-1(c) (2); 15 US.C. §§ 78dd-2(c) (2), 78dd-3(c)(2). 145 For example, the Eighth Circuit Court of Appeals found that providing airline tickets to a government official in order to corruptly influence that official may form the basis for a violation of the FCPA’s anti-bribery provisions. See Liebo, 923 F.2d at 1311-12. M46 See generally US. DEPT. OF JUSTICE, FCPA Op. RELEASE 11-01 (June 30, 2011) (travel, lodging, and meal expenses of two foreign officials for two-day trip to United States to learn about services of US. adoption service provider), available at http ://www.justice.gov/ criminal/ fraud/fepa/opinion/20 11/1 1-01.pdf; US. DEPT. OF JUSTICE, FCPA Op. RELEASE 08-03 (July 11, 2008) (stipends to reimburse minimal travel expenses of local, government-afhiliated journalists attending press conference in foreign country), available at http: //wwwjustice.gov/ criminal /fraud/fcpa/opinion/2008/0803.pdf; US. DEPT. OF JUSTICE, FCPA Op, RELEASE 07-02 (Sept. 11, 2007) (domestic travel, lodging, and meal expenses of six foreign officials for six-week educational program), available at http: //www.justice.gov/ criminal/fraud/ fepa/ opinion/2007/0702.pdf; US. Dept. oF JusTICE, FCPA Op. RELEASE 07-01 (July 24, 2007) (domestic travel, lodging, and meal expenses of six foreign officials for four-day educational and promotional tour of US. company’s operations sites), available at http://www.justice. gov/criminal/fraud/fcpa/opinion/2007/070 1 pdf; US. DEPT. OF Justice, FCPA Op. RELEASE 04-04 (Sept. 3, 2004) (travel, lodging, and modest per diem expenses of five foreign officials to participate in nine-day study tour of mutual insurance companies), available at http://wwwjustice.gov/criminal/fraud/fepa/opinion/2004/0404. pdf; US. Derr. oF Justice, FCPA Op. RELEASE 04-03 (June 14, 2004) (travel, lodging, meal, and insurance expenses for twelve foreign officials and one translator on ten-day trip to three US. cities to meet with US. public sector officials), available at http://wwwjustice.gov/ criminal /fraud/fcpa/opinion/2004/0403.pdf; US. DEPT. OF JUSTICE, FCPA Op. RELEASE 04-01 (Jan. 6, 2004) (seminar expenses, including receptions, meals, transportation and lodging costs, for one-and-a-half day comparative law seminar on labor and employment law in foreign country), available at http ://www.justice.gov/ criminal/fraud/ fepa/ HOUSE_OVERSIGHT_022612