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DOJ Prosecution Of Individuals: The Public – Private Divide?

Yesterday’s post (here) noted that since 2005, the DOJ has charged 79 individuals with FCPA criminal offenses.

As the below list demonstrates, 55 of the 79 individuals charged (70%) were employees or otherwise affiliated with private business entities.  Of the 64 individuals charged since 2008, 50 of the 64 individuals charged (78%) were employees or otherwise affiliated with private business entities.  This is striking statistic given that 37 of the 42 (88%)  “core” corporate DOJ FCPA enforcement actions since 2008 were against publicly traded corporations.

I recognize that the Africa Sting case can skew statistics, so let’s pretend that manufactured case never occurred.  The numbers would then be as follows: (i)  57 individuals charged with FCPA criminal offenses since 2005; 33 of the 57 individuals (58%) were employees or otherwise affiliated with private business entities; (ii) 42 individuals charged with FCPA criminal offenses since 2008; 28 of the 42 individuals (66%) were employees or otherwise affiliated with private business entities.  Still a striking statistic given that 37 of the 42 (88%) “core” corporate DOJ enforcement actions since 2008 have been against publicly traded corporations.

Individuals Charged With FCPA Criminal Offenses Since 2005 (Employer / Affiliation)

Bold = employed or affiliated with a private business entity

Yaw Osei Amoako, Steven Ott, Roger Young (employees of ITXC Corp. – a publicly traded corporation)

Steven Head (employee of Titan Corp. – a publicly traded corporation)

Christian Sapsizian, Edgar Acosta (employees of Alcatel S.A.  / subsidiary / affiliate – a publicly traded corporation)

Jim Bob Brown, James Tillery, Paul Novak, Jason Steph (employees of subsidiaries of Willsbros Group Inc. – a publicly traded corporation)

Si Chan Wooh (employee of Schnitzer Steel – a publicly traded corporation)

Richard Novak (employed by private individuals who owned and operated several internet-based businesses)

Faheem Salam (employed by Titan Corp. – a publicly traded corporation)

Gerald Green, Patricia Green (owners / operators of several private companies)

William Jefferson (as relevant to FCPA charges – agent / participate in several private business entities)

Leo Winston Smith, Martin Eric Self (employees of Pacific Consolidated Industries LP – a private business entity)

Shu Quan Sheng (owner of AMAC International Inc., but acting on behalf of French Company A – a publicly traded corporation)

Misao Hioki (employee of Bridgestone Corporation – a publicly traded corporation)

Nam Nguyen, Joseph Lukas, Kim Nguyen, An Nguyen (employees / agents of Nexus Technologies – a private business entity)

Albert Jack Stanley, Jeffrey Tesler, Wojciech Chodan (employees / agents of KBR Inc., – a publicly traded corporation and/or other publicly traded corporations)

Richard Morlock, Stuart Carson, Hong Carson, Paul Cosgrove, David Edmonds, Flavio Ricotti, Han Yong Kim (employees of Control Components Inc. – a private business entity)

Ousama Naaman (agent of Innospec – a publicly traded corporation)

John Jospeh O’Shea, Fernando Maya Basurto (employee / agent of ABB Ltd. – a publicly traded corporation)

Charles Paul Edward Jumet, John Warwick (employees of Ports Engineering Consultants Corporation – a private business entity)

Jorge Granados, Manuel Caceres, Juan Pablo Vasquez, Manuel Salvoch (employees of Latin Node Inc. – a private business entity)

Juan Diaz, Antonio Perez, Joel Esquenazi, Carlos Rodriguez, Marguerite Grandison, Jean Fourcand, Washington Vasconez Cruz, Amadeus Richers (employees / agents of Terra Telecommunications Corp., Telecom Consulting Services Corp., and JD Locator Services, Inc. – all private business entities)

Enrique Faustino Aguilar, Angela Maria Gomez Aguilar, Keith Lindsey, Steve Lee (employees / agents of Lindsey Manufacturing Corp. – a private business entity)

Richard Bistrong (employee of Armor Holdings Inc. – a publicly traded corporation)

Amaro Goncalves [employee of Smith & Wesson – a publicly traded corporation], John Mushriqui, Jeanna Mushriqui, David Painter, Lee Wares, Pankesh Patel, Ofer Paz, Israel Weisler, Michael Sacks, John Bensor, Haim Geri, Yochanan Choan, Saul Mishkin, R. Patrick Caldwell, Stephen Giordanella, Andrew Bigelow, Helmie Ashiblie, Daniel Alvirez, Lee Allen Tolleson, John Gregory Godsey, Mark Morales [employee of Allied Defense Group – a publicly traded corporation], Jonathan Spiller (unless otherwise noted – all employees of private business entities)

Bobby Elkin (employee of Alliance One International – a publicly traded corporation)


Two tiers of justice?  Other factors at play?  Tomorrow’s post will explore additional statistics.

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