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.
