• Global Anti-Corruption Practice

Cases

Search Shearman's all-in-one FCPA Digest Online for full case analyses, printable case summaries, and original enforcement action documents for all FCPA cases from 1977 to the present.  Find the results you need by filtering for key words, defendant name, enforcement agency, and more.  Create an account to utilize our foldering tool and the export-to-Excel function to enhance your data analysis.

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Case name
Agency
Year
Total sanction
Compliance
Reporting

United States v. Frank Roberto Chatburn Ripalda & Jose Larrea (S.D. Fla. 2018)
United States v. Arturo Escobar Dominguez (S.D. Fla. 2018)
United States v. Marcelo Reyes Lopez (S.D. Fla. 2017)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Frank Roberto Chatburn Ripalda Domestic Concern
2018 Pending
United States
Jose Larrea Domestic Concern
2018 Plea Agreement
Plea Agreement
United States
Arturo Escobar Dominguez Domestic Concern
2018 Plea Agreement
Plea Agreement
Ecuador
Marcelo Reyes Lopez Domestic Concern
2017 Plea Agreement
Plea Agreement
Ecuador
DOJ 2018 0

In re Credit Suisse (Hong Kong) Limited (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Credit Suisse (Hong Kong) Limited Agent of Issuer
2018 Non-Prosecution Agreement
Non-Prosecution Agreement
Hong Kong
DOJ 2018 $47,029,916

In re Insurance Corporation of Barbados Ltd. (2018)
United States v. Donville Inniss et al. (E.D.N.Y. 2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Insurance Corporation of Barbados Ltd. Unknown
2018 Public Declination with Disgorgement
Public Declination with Disgorgement
United States
Donville Inniss Domestic Concern
2018 Pending
Pending
Barbados
DOJ 2018 $93,940

In re Legg Mason, Inc. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Legg Mason, Inc. Agent of Issuer
2018 Non-Prosecution Agreement
United States
DOJ 2018 $34,242,891

In re Petróleo Brasileiro S.A. – Petrobras (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Petróleo Brasileiro S.A. – Petrobras Issuer
2018 Non-Prosecution Agreement
Non-Prosecution Agreement
Brazil
DOJ 2018 $853,200,000

In re Polycom, Inc. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Polycom, Inc. Domestic Concern
2018 Public Declination with Disgorgement
Public Declination with Disgorgement
United States
DOJ 2018 $10,152,537

In the Matter of Beam Inc. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
BEAM INC., n/k/a BEAM SUNTORY INC.
Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Japan
SEC 2018 $8,181,838

In the Matter of Centrais Elétricas Brasileiras S.A. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Centrais Elétricas Brasileiras S.A. (“Eletrobras”) Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Brazil
SEC 2018 $2,500,000

In the Matter of Credit Suisse Group AG (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Credit Suisse Group AG Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Switzerland
SEC 2018 $29,823,804

In the Matter of Dun and Bradstreet Corporation (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Dun and Bradstreet Corporation Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2018 $9,221,484

In the Matter of Joohyun Bahn, a/k/a Dennis Bahn (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Joohyun Bahn, a/k/a Dennis Bahn Agent of Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Korea, South
SEC 2018 0

In the Matter of Kinross Gold Corporation

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Kinross Gold Corporation Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Canada
SEC 2018 $950,000

In the Matter of Legg Mason, Inc. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Legg Mason, Inc. Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2018 $34,502,494

In the Matter of Panasonic Corporation (2018)
In the Matter of Takeshi “Tyrone” Uonaga (2018)
In the Matter of Paul A. Margis (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Panasonic Corporation Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Japan
Paul A. Margis Agent of Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Takeshi “Tyrone” Uonaga Agent of Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
SEC 2018 $143,199,019

In the Matter of Petróleo Brasileiro S.A. – Petrobras (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Petróleo Brasileiro S.A. – Petrobras Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
Brazil
SEC 2018 $933,473,797

In the Matter of Polycom, Inc. (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Polycom, Inc. Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2018 $16,306,336

In the Matter of Sanofi (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Sanofi Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
France
SEC 2018 $25,206,145

In the Matter of United Technologies Corporation (2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
United Technologies Corporation Issuer
2018 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2018 $13,986,534

United States v. Low Taek Jho, a/k/a “Jho Low” and Ng Chong Hwa, a/k/a “Roger Ng” (E.D.N.Y. 2018)
United States v. Tim Leissner (E.D.N.Y. 2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Low Taek Jho, a/k/a “Jho Low” Conspiracy
2018 Fugitive
Fugitive
Malaysia
Ng Chong Hwa, a/k/a “Roger Ng” Agent of Domestic Concern
2018 Pending
Pending
Malaysia
Tim Leissner Agent of Domestic Concern
2018 Plea Agreement
Plea Agreement
Germany
DOJ 2018 0

United States v. Panasonic Avionics Corporation (D.D.C. 2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Panasonic Avionics Corporation Domestic Concern
2018 Deferred Prosecution Agreement
United States
DOJ 2018 $137,403,812

United States v. Société Générale S.A. (E.D.N.Y. 2018)
United States v. SGA Société Générale Acceptance, N.V. (E.D.N.Y. 2018)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Société Générale S.A. Territorial Jurisdiction
Conspiracy
2018 Deferred Prosecution Agreement
Deferred Prosecution Agreement
France
SGA Société Générale Acceptance, N.V. Territorial Jurisdiction
Conspiracy
2018 Plea Agreement
Plea Agreement
Curacao
DOJ 2018 $585,552,888
Results
United States v. Frank Roberto Chatburn Ripalda & Jose Larrea (S.D. Fla. 2018)
United States v. Arturo Escobar Dominguez (S.D. Fla. 2018)
United States v. Marcelo Reyes Lopez (S.D. Fla. 2017)
  • Agency DOJ
  • Year 2018
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Frank Roberto Chatburn Ripalda
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Pending
  • Citizenship United States
Jose Larrea
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship United States
Arturo Escobar Dominguez
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship Ecuador
Marcelo Reyes Lopez
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2017
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship Ecuador
In re Credit Suisse (Hong Kong) Limited (2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $47,029,916
  • Compliance
  • Reporting
Defendants
Credit Suisse (Hong Kong) Limited
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2018
  • Disposition Non-Prosecution Agreement
    Non-Prosecution Agreement
  • Citizenship Hong Kong
In re Insurance Corporation of Barbados Ltd. (2018)
United States v. Donville Inniss et al. (E.D.N.Y. 2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $93,940
  • Compliance
  • Reporting
Defendants
Insurance Corporation of Barbados Ltd.
  • Jurisdictional Basis Unknown
  • Year Filed 2018
  • Disposition Public Declination with Disgorgement
    Public Declination with Disgorgement
  • Citizenship United States
Donville Inniss
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Pending
    Pending
  • Citizenship Barbados
In re Legg Mason, Inc. (2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $34,242,891
  • Compliance
  • Reporting
Defendants
Legg Mason, Inc.
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2018
  • Disposition Non-Prosecution Agreement
  • Citizenship United States
In re Petróleo Brasileiro S.A. – Petrobras (2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $853,200,000
  • Compliance
  • Reporting
Defendants
Petróleo Brasileiro S.A. – Petrobras
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Non-Prosecution Agreement
    Non-Prosecution Agreement
  • Citizenship Brazil
In re Polycom, Inc. (2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $10,152,537
  • Compliance
  • Reporting
Defendants
Polycom, Inc.
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Public Declination with Disgorgement
    Public Declination with Disgorgement
  • Citizenship United States
In the Matter of Beam Inc. (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $8,181,838
  • Compliance
  • Reporting
Defendants
BEAM INC., n/k/a BEAM SUNTORY INC.
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Japan
In the Matter of Centrais Elétricas Brasileiras S.A. (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $2,500,000
  • Compliance
  • Reporting
Defendants
Centrais Elétricas Brasileiras S.A. (“Eletrobras”)
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Brazil
In the Matter of Credit Suisse Group AG (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $29,823,804
  • Compliance
  • Reporting
Defendants
Credit Suisse Group AG
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Switzerland
In the Matter of Dun and Bradstreet Corporation (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $9,221,484
  • Compliance
  • Reporting
Defendants
Dun and Bradstreet Corporation
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
In the Matter of Joohyun Bahn, a/k/a Dennis Bahn (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Joohyun Bahn, a/k/a Dennis Bahn
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Korea, South
In the Matter of Kinross Gold Corporation
  • Agency SEC
  • Year 2018
  • Total sanction $950,000
  • Compliance
  • Reporting
Defendants
Kinross Gold Corporation
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Canada
In the Matter of Legg Mason, Inc. (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $34,502,494
  • Compliance
  • Reporting
Defendants
Legg Mason, Inc.
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
In the Matter of Panasonic Corporation (2018)
In the Matter of Takeshi “Tyrone” Uonaga (2018)
In the Matter of Paul A. Margis (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $143,199,019
  • Compliance
  • Reporting
Defendants
Panasonic Corporation
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Japan
Paul A. Margis
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship
Takeshi “Tyrone” Uonaga
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship
In the Matter of Petróleo Brasileiro S.A. – Petrobras (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $933,473,797
  • Compliance
  • Reporting
Defendants
Petróleo Brasileiro S.A. – Petrobras
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Brazil
In the Matter of Polycom, Inc. (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $16,306,336
  • Compliance
  • Reporting
Defendants
Polycom, Inc.
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
In the Matter of Sanofi (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $25,206,145
  • Compliance
  • Reporting
Defendants
Sanofi
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship France
In the Matter of United Technologies Corporation (2018)
  • Agency SEC
  • Year 2018
  • Total sanction $13,986,534
  • Compliance
  • Reporting
Defendants
United Technologies Corporation
  • Jurisdictional Basis Issuer
  • Year Filed 2018
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
United States v. Low Taek Jho, a/k/a “Jho Low” and Ng Chong Hwa, a/k/a “Roger Ng” (E.D.N.Y. 2018)
United States v. Tim Leissner (E.D.N.Y. 2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Low Taek Jho, a/k/a “Jho Low”
  • Jurisdictional Basis Conspiracy
  • Year Filed 2018
  • Disposition Fugitive
    Fugitive
  • Citizenship Malaysia
Ng Chong Hwa, a/k/a “Roger Ng”
  • Jurisdictional Basis Agent of Domestic Concern
  • Year Filed 2018
  • Disposition Pending
    Pending
  • Citizenship Malaysia
Tim Leissner
  • Jurisdictional Basis Agent of Domestic Concern
  • Year Filed 2018
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship Germany
United States v. Panasonic Avionics Corporation (D.D.C. 2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $137,403,812
  • Compliance
  • Reporting
Defendants
Panasonic Avionics Corporation
  • Jurisdictional Basis Domestic Concern
  • Year Filed 2018
  • Disposition Deferred Prosecution Agreement
  • Citizenship United States
United States v. Société Générale S.A. (E.D.N.Y. 2018)
United States v. SGA Société Générale Acceptance, N.V. (E.D.N.Y. 2018)
  • Agency DOJ
  • Year 2018
  • Total sanction $585,552,888
  • Compliance
  • Reporting
Defendants
Société Générale S.A.
  • Jurisdictional Basis Territorial Jurisdiction
    Conspiracy
  • Year Filed 2018
  • Disposition Deferred Prosecution Agreement
    Deferred Prosecution Agreement
  • Citizenship France
SGA Société Générale Acceptance, N.V.
  • Jurisdictional Basis Territorial Jurisdiction
    Conspiracy
  • Year Filed 2018
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship Curacao
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