THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA Cr. No. UNITED STATES OF AMERICA , Plaintiff, v. : (Conspiracy, 18 U.S.C. § 371) SIEMENS S.A. (VENEZUELA), Defendant INFORMATION The United States Attorney and the Department of Justice, Criminal Division, Fraud Section charge, at all times relevant to this Information, or at the dates and times indicated: INTRODUCTORY ALLEGATIONS THE FOREIGN CORRUPT PRACTICES ACT 1. The Foreign Corrupt Practices Act of 1977 (hereinafter, the "FCPA"), as amended, 15 U.S.C. §§ 78dd-l et seq., prohibited certain classes of persons and entities from making payments to foreign government officials to obtain or retain business. Specifically, the FCPA prohibited any person other than an issuer or domestic concern, while in the territory of the United States, from making use of the mails or any means or instrumentality of interstate commerce corruptly in furtherance of an offer, payment, promise to pay, or authorization of the payment of money or anything of value to any person, while knowing that all or a portion of such money or thing of value would be offered, given, or promised, directly or indirectly, to a foreign official for the purpose of obtaining or retaining business for, or directing business to, any person or securing any improper advantage. 15 U.S.C. § 78dd-3(a). Furthermore, the FCPA
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THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA
Cr. No. UNITED STATES OF AMERICA ,
Plaintiff, v. : (Conspiracy, 18 U.S.C. § 371)
SIEMENS S.A. (VENEZUELA),
Defendant
I N F O R M A T I O N
The United States Attorney and the Department of Justice, Criminal Division, Fraud
Section charge, at all times relevant to this Information, or at the dates and times indicated:
INTRODUCTORY ALLEGATIONS
THE FOREIGN CORRUPT PRACTICES ACT
1. The Foreign Corrupt Practices Act of 1977 (hereinafter, the "FCPA"), as
amended, 15 U.S.C. §§ 78dd-l et seq., prohibited certain classes of persons and entities from
making payments to foreign government officials to obtain or retain business. Specifically, the
FCPA prohibited any person other than an issuer or domestic concern, while in the territory of
the United States, from making use of the mails or any means or instrumentality of interstate
commerce corruptly in furtherance of an offer, payment, promise to pay, or authorization of the
payment of money or anything of value to any person, while knowing that all or a portion of
such money or thing of value would be offered, given, or promised, directly or indirectly, to a
foreign official for the purpose of obtaining or retaining business for, or directing business to,
any person or securing any improper advantage. 15 U.S.C. § 78dd-3(a). Furthermore, the FCPA
required issuers to make and keep books, records, and accounts that accurately and fairly reflect
transactions and disposition of the company's assets and prohibited the knowing falsification of
an issuer's books, records, or accounts. 15 U.S.C. §§ 78m(b)(2)(A), 78m(b)(5), and 78ff(a).
SIEMENS VENEZUELA AND OTHER RELEVANT ENTITIES AND INDIVIDUALS
Lori A. Weinstein Trial Attorney - Foreign Corrupt Practices Act Fraud Section, Criminal Division (202)514-0839
United States Department of Justice 1400 New York Avenue, N.W. Washington, D.C. 20005
By:
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JEFFREY A. TAYLOR United States Attorney
By: John D. Griffith Assistant United States Attorney Fraud and Public Corruption Section (202) 353-2453
United States Attorney's Office 555 Fourth Street, NW Washington, D.C. 20530
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• CLERK'S OFFICE CO-931
UNITED STATES DISTRICT COURT New 3/78
NOTICE OF DESIGNATION OF PENDING* RELATED CRIMINAL CASE PURSUANT TO RULE 3-4, UNITED STATES DISTRICT
COURT FOR THE DISTRICT OF COLUMBIA
Criminal Number: 08- (RJL) (To be supplied by the Clerk)
NOTICE TO PROSECUTOR:
Pursuant to LCrR 57.12(a)(1) of this Court's Rules, you should prepare this form and submit it to the Clerk's Office along with the indictments in any related cases. One copy is needed for the Clerk's records, once for the Judge to whom the case is assigned, and one additional copy for each defendant. Therefore, in a one defendant case you should submit 3 copies, for a two defendant case you should submit 4 copies, etc. The Clerk will mail copies of this form to all defense counsel along with the arraignment notice.
NOTICE TO DEFENDANT:
Rule LCrR 57.12(b)(1) of this Court's Rules requires that any objection by the defendant to the related case designation shall be served on the U. S. Attorney and filed with the Clerk within 10 days after arraignment.
NOTICE TO ALL COUNSEL:
Rule LCrR 57.12(b)(3) requires, in part, that as soon as an attorney for a party becomes aware of the existence of a related case or cases, such attorney shall immediately notify in writing, the Judges on whose calendars the cases appear and shall serve such notice on counsel for all other parties.
The prosecutor will please complete the following:
1. Name of defendant: S I E M E N S S.A. ( V E N E Z U E L A )
2. Number of related case: Siemens AG, Siemens S.A. (Argentina),, and Siemens Bangladesh Ltd.), (cases has not been assigned a number)
3. Name of Judge assigned to related case: RICHARD J. LEON 4. Name of United States Court in which the related case is pending (if other than this Court:)
5. Relationship of new case to related case:
[Check appropriate box(es)]
[X ] (a) New case is an I N F O R M A T I O N .
[ ] (b) More than one indictment is filed or pending against defendant.
[ X ] (c) Prosecution against different defendant(s) arises from:
[ ] a common wiretap
[ ] a common search warrant
[X] activities which are a part of the same alleged criminal event or transaction
(*) A case is considered pending until a defendant has been sentenced. [Rule 3-4(a)(l)l
** Please note: these cases are related pursuant to local rule LcvR 40.5 (a)(2) as "a defendant is charged in a criminal case while a civil forfeiture proceeding is pending concerning that defendant."
CLERK'S OFFICE CO-931 UNITED STATES DISTRICT COURT New 3/78
NOTICE OF DESIGNATION OF PENDING* RELATED CRIMINAL CASE PURSUANT TO RULE 3-4, UNITED STATES DISTRICT
COURT FOR THE DISTRICT OF COLUMBIA
Criminal Number: 08- (RJL) (To be supplied by the Clerk)
NOTICE TO PROSECUTOR:
Pursuant to LCrR 57.12(a)(1) of this Court's Rules, you should prepare this form and submit it to the Clerk's Office along with the indictments in any related cases. One copy is needed for the Clerk's records, once for the Judge to whom the case is assigned, and one additional copy for each defendant. Therefore, in a one defendant case you should submit 3 copies, for a two defendant case you should submit 4 copies, etc. The Clerk will mail copies of this form to all defense counsel along with the arraignment notice.
NOTICE TO DEFENDANT:
Rule LCrR 57.12(b)(1) of this Court's Rules requires that any objection by the defendant to the related case designation shall be served on the U. S. Attorney and filed with the Clerk within 10 days after arraignment.
NOTICE TO ALL COUNSEL:
Rule LCrR 57.12(b)(3) requires, in part, that as soon as an attorney for a party becomes aware of the existence of a related case or cases, such attorney shall immediately notify in writing, the Judges on whose calendars the cases appear and shall serve such notice on counsel for all other parties.
The prosecutor will please complete the following:
1. Name of defendant: S I E M E N S S. A, ( V E N E Z U E L A )
2. Number of related case: 07-00253 (RJL), §7-00294 (RJL), 08-00068(RJL), 08-0069 (RJL), 08-00035 (RJL) and cases not assigned criminal numbers: Siemens AG, Siemens S.A. (Argentina),, and Siemens Bangladesh Ltd.)
3. Name of Judge assigned to related case: RICHARD J. LEON
4. Name of United States Court in which the related case is pending (if other than this Court:)
5. Relationship of new case to related case:
[Check appropriate box(es)]
[X ] (a) New case is an I N F O R M A T I O N .
[ ] (b) More than one indictment is filed or pending against defendant.
[ X ] (c) Prosecution against different defendant(s) arises from:
[ ] a common wiretap
[ ] a common search warrant
[X] activities which are a part of the same alleged criminal event or transaction
(*) A case is considered pending until a defendant has been sentenced. [Rule 3-4(a)(l)1
** Please note: these cases are related pursuant to local rule LcvR 40.5 (a)(2) as "a defendant is charged in a criminal case while a civil forfeiture proceeding is pending concerning that defendant."