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The Missing Corporate Monitors

Brandon Garrett wants to know the names of 35 missing corporate monitors.

The Justice Department won’t say.

Garrett is a Professor at the University of Virginia Law School.

He’s compiled a list of 74 deferred and non prosecution agreements where a monitor was appointed.

But he’s been able to name only 39 of the appointed monitors.

Most of the 39 he got from a 2008 letter sent to the Department of Justice to the House Judiciary Committee.

But since that letter, the Department has not made the names of the missing monitors public.

We’re trying to identify the missing monitors – their names and their law firms.

Below is Professor Garrett’s rough working list of deferred and non prosecution agreements since 2001 that have had monitors.

They are listed in alphabetical order with the names of monitors – if they have been made public.

Can you identify those not listed?

Professor Garrett wants to know.

And so do we.

If you can name a missing monitor, please send an e-mail to russell@corporatecrimereporter.com

We’ll be updating the list and be reporting monitor names as we get them.

[5.8.2012 9:10 am: just added two, so only 33 missing now.]

Name of company

Allegation

Deferred prosecution agreement (DPA) or

Non prosecution agreement (NPA)

Monitor name or Monitor unknown

1. ABT Associates

Securities fraud

DPA

Monitor Unknown

2. AGA Medical

FCPA  

DPA

Monitor: Scott Frederickson, Foley & Lardner

3. AIG Financial  

Securities Fraud                           

DPA

Monitor Unknown

 

4. AIG FP PAGIC
Equity Holding

Securities Fraud

DPA

Monitor Unknown

5. Alcatel Lucent

FCPA                            

DPA

Monitor Unknown

6. Alliance One

FCPA                               

DPA                                        

Monitor: Joseph Warin, Gibson Dunn

7. AIG  

Securities Fraud                                            

NPA                                       

Monitor: James Cole, now Department of Justice

8. AOL

Securities Fraud

DPA                                       

Monitor: James Robinson, Cadwalader

9. Aurora Foods

Accounting Fraud                              

NPA                                       

Monitor: Aaron Marcu, Freshfields

10. Baker Hughes

FCPA                          

NPA                                       

Monitor: Stephen Fishbein, Shearman & Sterling

 

11. Bank of New York                      

Bank Secrecy

NPA                                       

Monitor: George Stamboulidis, Baker & Hostetler

12. Biomet

Anti-Kickback Statute

DPA                                       

Monitor: David Kelley, Cahill Gordon

13. Biomet

FCPA                        

DPA

Monitor Unknown

14. Blue Cross Blue
Shield RI                                          

Mail Fraud

DPA                                       

Monitor: Margaret Curran, Rhode Island’s

Health Benefits Exchange Advisory Board.

15. Boeing                                        

Procurement fraud

NPA                                       

Monitor: George Babbitt Jr., retired Air Force General

16. Bristol Myers Squibb 

Securities fraud                 

DPA                                       

Monitor: Frederick Lacey, LeBoeuf Lamb

17. British Petroleum    

Mail and wire fraud                   

DPA                                        

Monitor: Bart Schwartz

18. Canadian Imperial
Bank of Commerce

Aiding and abetting accounting fraud

DPA

Monitor: Michael Considine, Seward & Kissel

19. CNH France

Conspiracy to commit wire fraud

DPA

Monitor Unknown

20. CNH Italia DPA

Conspiracy to commit wire fraud

DPA

Monitor Unknown

21. Columbia Farms DPA

Hiring unauthorized workers

DPA

Monitor Unknown

22. Computer Associates

Securities fraud

DPA

Monitor: Lee Richards III, Richard Kibbe Orbe

23. Daimler AG DPA

FCPA

DPA

Monitor Unknown

24. DaimlerChrysler China

FCPA DPA

Monitor Unknown

 

25. DePuy Orthopaedics DPA

Anti-Kickback law

Monitor: Debra Wong Yang, Gibson Dunn

26. Deutsche Bank

Tax evasion

NPA

Monitor: Bart Schwartz

27. Doyon Drilling

Clean Water Act

DPA

Monitor Unknown

28. Edward Jones

Securities fraud

DPA

Monitor: James Doty, Baker Botts

29. ESI Entertainment Systems

Charges related to illegal gambling
DPA

Monitor Unknown

30. Exactech

Anti-Kickback Law

DPA

Monitor Unknown

 

31. Fiat DPA

Conspiracy to commit wire fraud

DPA

Monitor Unknown

 

32. GE

FCPA

NPA

Monitor Unknown

 

32. HealthSouth Corp.

Accounting Fraud

NPA

Monitor: Michael Useem, Wharton School

34. IFCO Systems

Hiring illegal alien workers

NPA

Monitor Unknown

 

35. Ingersoll Rand

Conspiracy to commit wire fraud

DPA

Monitor: Jeffrey Kaplan, Kaplan & Walker

36. InVision

FCPA

DPA

Monitor: William Pendergast

37. ITT

Arms Export Control Act

DPA

Monitor Unknown

 

38. Invenco

Conspiracy to commit wire fraud

DPA

Monitor Unknown

 

39. JGC

FCPA

DPA

Monitor Unknown

 

40. KPMG

Tax fraud

DPA

Monitor: Former SEC chair Richard Breeden

41. Lloyds TSB Bank

International Energy Economic Powers Act

DPA

Monitor Unknown

 

42. Louis Berger Group

False Claims

DPA

Monitor Unknown

 

43. Marubeni Corp.

FCPA

DPA

Monitor Unknown

 

44. Maxim Healthcare

Health care fraud

DPA

Monitor Unknown

 

45. Mellon Bank

Theft of government property

DPA

Monitor: George Stamboulidis, Baker & Hostetler

46. Merrill Lynch

False statements

DPA

Monitor: George Stamboulidis, Baker & Hostetler

47. Micrus Corp.

FCPA

NPA

Monitor: Jan Handzlik, Venable

48. Milberg

Mail fraud

NPA

Monitor: Bart Schwartz

49. Monsanto

FCPA

DPA

Monitor: Timothy Dickinson Paul Hastings

50. MRA Holdings

Failure to label sexually explicit material

DPA

Monitor: Lori Pelliccioni, UCLA

51. NETeller PLC

Conspiracy to conduct an illegal gambling business

DPA

Monitor: Navigant Consulting

52. New York Racing

Conspiracy to defraud

DPA

Monitor: Margaret Finerty and Neil Getnick, Getnick & Getnick

53. Paradigm

FCPA

NPA

Monitor: Saul Pilchen, Skadden

54. Prudential Securities

Fraud

DPA

Monitor: Kenneth Conboy, Latham & Watkins

55. Purdue Pharma

Misbranding

NPA

Monitor Unknown

 

56. Roger Williams
Medical School

Public Corruption

DPA

Monitor Unknown

 

57. SAIC

Conspiracy to defraud

DPA

Monitor Unknown

 

58. Schnitzer Steel

FCPA

Monitor: James Asperger, Quinn Emanuel

59. Sirchie Acquisition

Violation of a denial order

DPA

Monitor Unknown

 

60. Smith & Nephew

Anti-Kickback law

DPA

Monitor: David Samson Wolff & Samson

61. Smith & Nephew

FCPA

DPA

Monitor Unknown

 

62. Statoil, ASA

FCPA

DPA

Monitor: Joseph Warin, Gibson Dunn

63. Stryker Orthopedic

Anti-kickback law

NPA

Monitor: John Carley

64. Symbol Technologies

Accounting fraud

NPA

Monitor: Douglas Jensen, Chadbourne & Parke


65. Technip

FCPA

DPA

Monitor Unknown

66. Universal Corp.

FCPA

NPA

Monitor Unknown

 

67. University of Medicine
and Dentistry of New Jersey

Health care fraud

DPA

Monitor: Herbert Stern, Stern & Kilcullen

68. Vetco

FCPA

DPA

Monitor: Richard Weinberg, Morvillo Abramowitz

69. Wellcare Health Plans

Conspiracy to commit health care fraud

DPA

Monitor Unknown

70. Whitehall Jewelers

Bank fraud

NPA

Monitor Unknown

 

71. Willbros

FCPA

DPA

Monitor: Henry Klehm, Jones Day

 

72. Wright Medical
Technology Inc.

Anti-Kickback Statute

DPA

Monitor Unknown

 

73. York International

FCPA

DPA

Monitor: Danforth Newcomb, Shearman & Sterling

74. Zimmer Holdings

Anti-Kickback Statute

DPA

Monitor: John Ashcroft, Ashcroft Group

RUSSELL MOKHIBER edits the Corporate Crime Reporter.

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Russell Mokhiber is the editor of the Corporate Crime Reporter..

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