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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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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 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 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 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 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 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
Results
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 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 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 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 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 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
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