• 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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Agency
Year
Total sanction
Compliance
Reporting

In re Airbus SE 2020

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Airbus SE ("Airbus") Territorial Jurisdiction
2020 Non-Prosecution Agreement
Netherlands
DOJ 2020 $294,488,085

In the Matter of Barclays PLC (2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Barclays PLC Issuer
2019 Cease-and-Desist Order
Cease-and-Desist Order
United Kingdom
SEC 2019 $6,308,726

In the Matter of Cardinal Health, Inc. (2020)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Cardinal Health, Inc. Issuer
2020 Cease-and-Desist Order
United States
SEC 2020 $8,816,887

In the Matter of Eni S.p.A. (2020)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Eni S.p.A. Issuer
2020 Cease-and-Desist Order
Cease-and-Desist Order
Italy
SEC 2020 $24,500,000

In the Matter of Novartis AG (2020)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Novartis AG Issuer
2020 Cease-and-Desist Order
Cease-and-Desist Order
Switzerland
SEC 2020 $112,800,000

In the Matter of Quad/Graphics, Inc. (2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Quad/Graphics, Inc. Issuer
2019 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2019 $9,895,334

In the Matter of Tim Leissner (2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Tim Leissner Agent of Issuer
2019 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2019 $43,700,000

In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty (2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Westport Fuel Systems, Inc. Issuer
2019 Cease-and-Desist Order
Cease-and-Desist Order
Canada
Nancy Gougarty Agent of Issuer
2019 Cease-and-Desist Order
Cease-and-Desist Order
United States
SEC 2019 0

SEC v. Asante Berko (E.D.N.Y. 2020)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Asante Berko Agent of Issuer
2020 Pending
Pending
United States
Ghana
SEC 2020 0

SEC v. Telefonaktiebolaget LM Ericsson (S.D.N.Y., Dec. 6, 2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Telefonaktiebolaget LM Ericsson Issuer
2019 Civil Settlement
Civil Settlement
Sweden
SEC 2019 $539,920,000

United States v. Novartis Hellas S.A.C.I. (D. NJ 2020)
United States v. Alcon Pte Ltd (D. NJ 2020)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Novartis Hellas S.A.C.I. Agent of Issuer
2020 Deferred Prosecution Agreement
Deferred Prosecution Agreement
Greece
Alcon Pte Ltd Agent of Issuer
2020 Deferred Prosecution Agreement
Deferred Prosecution Agreement
Singapore
DOJ 2020 $233,925,000

United States v. Samsung Heavy Industries, Co. Ltd. (E.D.Va. 2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Samsung Heavy Industries, Co. Ltd. (E.D.Va. 2019) Territorial Jurisdiction
2019 Deferred Prosecution Agreement
Deferred Prosecution Agreement
Korea, South
DOJ 2019 $75,481,600

United States v. Telefonaktiebolaget LM Ericsson (S.D.N.Y. 2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Telefonaktiebolaget LM Ericsson Issuer
2019 Deferred Prosecution Agreement
Sweden
Ericsson Egypt Ltd.  Agent of Issuer
2019 Plea Agreement
Plea Agreement
Egypt
DOJ 2019 $520,650,432

United States v. Yanliang Li, a/k/a "Jerry Li," and Hongwei Yang, a/k/a "Mary Yang" (S.D.N.Y. 2019)

Defendants
Defendant Name Jurisdictional Basis Year Filed Disposition Citizenship
Yanliang Li, a/k/a "Jerry Li" Agent of Issuer
2019 Pending
Pending
China
Hongwei Yang, a/k/a "Mary Yang" Agent of Issuer
2019 Pending
Pending
China
DOJ 2019 0
Results
In re Airbus SE 2020
  • Agency DOJ
  • Year 2020
  • Total sanction $294,488,085
  • Compliance
  • Reporting
Defendants
Airbus SE ("Airbus")
  • Jurisdictional Basis Territorial Jurisdiction
  • Year Filed 2020
  • Disposition Non-Prosecution Agreement
  • Citizenship Netherlands
In the Matter of Barclays PLC (2019)
  • Agency SEC
  • Year 2019
  • Total sanction $6,308,726
  • Compliance
  • Reporting
Defendants
Barclays PLC
  • Jurisdictional Basis Issuer
  • Year Filed 2019
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United Kingdom
In the Matter of Cardinal Health, Inc. (2020)
  • Agency SEC
  • Year 2020
  • Total sanction $8,816,887
  • Compliance
  • Reporting
Defendants
Cardinal Health, Inc.
  • Jurisdictional Basis Issuer
  • Year Filed 2020
  • Disposition Cease-and-Desist Order
  • Citizenship United States
In the Matter of Eni S.p.A. (2020)
  • Agency SEC
  • Year 2020
  • Total sanction $24,500,000
  • Compliance
  • Reporting
Defendants
Eni S.p.A.
  • Jurisdictional Basis Issuer
  • Year Filed 2020
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Italy
In the Matter of Novartis AG (2020)
  • Agency SEC
  • Year 2020
  • Total sanction $112,800,000
  • Compliance
  • Reporting
Defendants
Novartis AG
  • Jurisdictional Basis Issuer
  • Year Filed 2020
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Switzerland
In the Matter of Quad/Graphics, Inc. (2019)
  • Agency SEC
  • Year 2019
  • Total sanction $9,895,334
  • Compliance
  • Reporting
Defendants
Quad/Graphics, Inc.
  • Jurisdictional Basis Issuer
  • Year Filed 2019
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
In the Matter of Tim Leissner (2019)
  • Agency SEC
  • Year 2019
  • Total sanction $43,700,000
  • Compliance
  • Reporting
Defendants
Tim Leissner
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2019
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty (2019)
  • Agency SEC
  • Year 2019
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Westport Fuel Systems, Inc.
  • Jurisdictional Basis Issuer
  • Year Filed 2019
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship Canada
Nancy Gougarty
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2019
  • Disposition Cease-and-Desist Order
    Cease-and-Desist Order
  • Citizenship United States
SEC v. Asante Berko (E.D.N.Y. 2020)
  • Agency SEC
  • Year 2020
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Asante Berko
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2020
  • Disposition Pending
    Pending
  • Citizenship United States
    Ghana
SEC v. Telefonaktiebolaget LM Ericsson (S.D.N.Y., Dec. 6, 2019)
  • Agency SEC
  • Year 2019
  • Total sanction $539,920,000
  • Compliance
  • Reporting
Defendants
Telefonaktiebolaget LM Ericsson
  • Jurisdictional Basis Issuer
  • Year Filed 2019
  • Disposition Civil Settlement
    Civil Settlement
  • Citizenship Sweden
United States v. Novartis Hellas S.A.C.I. (D. NJ 2020)
United States v. Alcon Pte Ltd (D. NJ 2020)
  • Agency DOJ
  • Year 2020
  • Total sanction $233,925,000
  • Compliance
  • Reporting
Defendants
Novartis Hellas S.A.C.I.
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2020
  • Disposition Deferred Prosecution Agreement
    Deferred Prosecution Agreement
  • Citizenship Greece
Alcon Pte Ltd
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2020
  • Disposition Deferred Prosecution Agreement
    Deferred Prosecution Agreement
  • Citizenship Singapore
United States v. Samsung Heavy Industries, Co. Ltd. (E.D.Va. 2019)
  • Agency DOJ
  • Year 2019
  • Total sanction $75,481,600
  • Compliance
  • Reporting
Defendants
Samsung Heavy Industries, Co. Ltd. (E.D.Va. 2019)
  • Jurisdictional Basis Territorial Jurisdiction
  • Year Filed 2019
  • Disposition Deferred Prosecution Agreement
    Deferred Prosecution Agreement
  • Citizenship Korea, South
United States v. Telefonaktiebolaget LM Ericsson (S.D.N.Y. 2019)
  • Agency DOJ
  • Year 2019
  • Total sanction $520,650,432
  • Compliance
  • Reporting
Defendants
Telefonaktiebolaget LM Ericsson
  • Jurisdictional Basis Issuer
  • Year Filed 2019
  • Disposition Deferred Prosecution Agreement
  • Citizenship Sweden
Ericsson Egypt Ltd. 
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2019
  • Disposition Plea Agreement
    Plea Agreement
  • Citizenship Egypt
United States v. Yanliang Li, a/k/a "Jerry Li," and Hongwei Yang, a/k/a "Mary Yang" (S.D.N.Y. 2019)
  • Agency DOJ
  • Year 2019
  • Total sanction $0
  • Compliance
  • Reporting
Defendants
Yanliang Li, a/k/a "Jerry Li"
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2019
  • Disposition Pending
    Pending
  • Citizenship China
Hongwei Yang, a/k/a "Mary Yang"
  • Jurisdictional Basis Agent of Issuer
  • Year Filed 2019
  • Disposition Pending
    Pending
  • Citizenship China
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