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					               Organization                                  U.S. Atty's Office



ABB Ltd.                          USDOJ - Criminal Division - Fraud Section 




AB Volvo                          USDOJ - Criminal Division - Fraud Section 




ABT Associates                    Massachusetts 
Adelphia Communications           New York - Southern District
Advanced Cosmetic Research Labs
AEP Energy Services               Ohio - Southern District
Aetna                             Massachusetts




AGA Medical                       USDOJ - Criminal Division - Fraud Section




AGCO Corporation                  USDOJ - Criminal Division - Fraud Section

Aibel Group                       USDOJ - Criminal Division - Fraud Section
Akzo Nobel                        USDOJ - Criminal Division - Fraud Section 
Alabama Contract Sales            Alabama - Northern District 


Alcatel-Lucent                    USDOJ, Criminal Division, Fraud Section




Alliance One                      USDOJ - Criminal Division - Fraud Section 



American Express Bank Int'l       USDOJ - Criminal Division
American Int'l Group
(AIG-FP PAGIC Equity Holding         Pennsylvania - Western District; 
Company & AIG Financial Products     Indiana - Southern District
Corp.) [3 coordinated agreements]



American Int'l Group                 USDOJ - Criminal Division - Fraud Section 




American Italian Pasta Company       Missouri - Western District


AmSouth Bancorp                      Mississippi - Southern District


AOL                                  Virginia - Eastern District


Appalachian Oil                      Virginia - Western District 


Armour of America                    California - Central District 


Arthur Andersen                      Connecticut
Aurora Foods                         New York - Southern District



Baker Hughes                         USDOJ - Criminal Division - Fraud Section 


Banco Popular De Puerto Rico         Puerto Rico

Bank of New York                     New York - Southern District


BankAtlantic                         Florida - Southern District


                                     USDOJ - Criminal Division - Asset Forfeiture and Money
Barclays Bank
                                     Laundering Section

BAWAG P.S.K. (Bank owned by
                                     New York - Southern District
Austrian Trade Unions Association)
Baystar Capital Management LLC       California - Northern District


BDO Seidman                          Illinois - Southern District
Beazer Homes USA, Inc.                   North Carolina - Western District


Biomet                                   New Jersey 


Biovail Pharmaceuticals, Inc & Biovail
                                         Massachusetts
Corporation


BL Trading                               Massachusetts


Blue Cross Blue Shield of Rhode Island Rhode Island




Boeing Co.                               California - Central District 




Bristol-Myers Squibb                     New Jersey




British Petroleum (BP)                   USDOJ - Criminal Division - Fraud Section 




Canadian Imperial Bank of Commerce       USDOJ - Enron Task Force
Ceramic Protection Corporation of
                                         Delaware
America
Chevron                                  New York - Southern District 



CNH Italia                               USDOJ - Criminal Division - Fraud Section




CNH France                               USDOJ - Criminal Division - Fraud Section


Collins & Aikman Corp.                   New York - Southern District 
Columbia Farms, Inc.                South Carolina



Computer Associates                 New York - Eastern District


ConAgra Poultry Co.


Coopers & Lybrand

Cosmetics Laboratories of America   California - Central District 




Credit Lyonnais                     California - Central District 




Credit Suisse AG                    USDOJ - Criminal Division


CVS/Pharmacy                        California - Central District 


Daimler AG                          USDOJ - Criminal Division - Fraud Section


DaimlerCrysler China                USDOJ - Criminal Division - Fraud Section


DePuy Orthopaedics                  New Jersey 

Deutsche Bank AG                    New York - Southern District




Doyon Drilling, Inc.                Alaska



Edward D. Jones                     Missouri - Eastern District

Elan Corp.                          Massachusetts
El Paso                                  New York - Southern District 

Electronic Clearing House                New York - Southern District 



Endocare                                 California - Central District 



English Construction Co.                 Virginia - Western District 




ESI Entertainment Systems                New York - Southern District 




Exactech                                 New Jersey

Express Scripts Inc.                     Massachusetts 

Facility Group                           Mississippi - Northern District


Faro Technologies                        USDOJ - Criminal Division 


FHC Delaware, Inc. (formerly Fine Host
                                         New York - Southern District
Corp.)


Fiat S.p.A.                              USDOJ - Criminal Division - Fraud Section



FirstEnergy Nuclear Operating Co.        Ohio - Northern District


Fisher Sand & Gravel                     North Dakota
Flowserve                                   USDOJ - Criminal Division - Fraud Section 




Forest Laboratories                         Massachusetts



Friedman's Inc.                             New York - Eastern District 



Frosty Treats, Inc.                         Missouri - Western District


GE                                          USDOJ - Criminal Division - Fraud Section




General Re Corp.                            USDOJ - Criminal Division - Fraud Section 




German Bank HVB                             New York - Southern District

GlaxoSmithKline                             Massachusetts



Halliburton Company                         USDOJ - Criminal Division - Fraud Section




HealthSouth Corp.                           Alabama - Northern District



Helmerich & Payne                           USDOJ - Criminal Division - Fraud Section

Hitachi Corp.                               USDOJ - Antitrust Division 
Holy Spirit Association – not available -
                                            California - Northern District
sealed by agreement between parties
HSBC                                     New York - Southern District




IFCO Systems                             New York - Northern District




IMC Potash                               New Mexico




Ingersoll Rand                           USDOJ - Criminal Division - Fraud Section 




InterMune                                California - Northern District 


InVision                                 USDOJ - Criminal Division - Fraud Section


ITT                                      USDOJ - Assistant Attorney General, National Security Division



Ivenco                                   USDOJ - Criminal Division - Fraud Section




Jackson Country Club                     Mississippi - Southern District 



Jazz Pharmaceuticals                     New York - Eastern District 


JB Oxford Holdings, Inc. (formerly RKS
                                         California - Central District 
Financial Group, Inc.)

Jenkins Gilchrist                        New York - Southern District 
John Hancock Mutual Life        Massachusetts

Kos Pharmaceuticals             USDOJ - Criminal Division - Fraud Section


KPMG                            New York - Southern District



Lawson Products, Inc.           Illinois - Northern District


Lazard Freres                   Massachusetts


Levlad LLC                      California - Central District 




                                USDOJ - Criminal Division - Asset Forfeiture and Money
Lloyds TSB Bank plc
                                Laundering Section




Lucent Technologies, Inc.       USDOJ - Criminal Division - Fraud Section 
Maximus                         District of Columbia 
MCI                             New York - Southern District

McSha Properties                Oklahoma - Western District

Medicis                         Kansas

Mellon Bank, N. A.              Pennsylvania - Western District

Merrill Lynch                   USDOJ - Enron Task Force

Merrill Lynch                   Massachusetts

Micrus Corp.                    USDOJ - Criminal Division - Fraud Section


Milberg                         California - Central District 


Mirant Energy Trading           USDOJ - Criminal Division - Fraud Section

Monford Food Distribution Co.
Monsanto                                USDOJ - Criminal Division - Fraud Section


MRA Holdings, LLC                       Florida - Northern District


National Compressor
NEC                                     USDOJ - Antitrust Division 
NETeller PLC                            New York - Southern District 

NetVersant-Atlanta, Inc. & NetVersant
                                        USDOJ - Antitrust Division 
Solutions, Inc.


NeuroMetrix, Inc.                       Massachusetts



Newsday, Inc. and Hoy Publications
                                        New York - Eastern District
LLC


New York Racing Ass'n                   New York - Eastern District

Noble Corp.                             USDOJ - Criminal Division - Fraud Section



Novo Nordisk A/S                        USDOJ - Criminal Division - Fraud Section


Omega Advisors                          USDOJ - Criminal Division - Fraud Section


Operations Management International     Connecticut


Optimal Group                           New York - Southern District
Ortho-McNeil-Janssen Pharmaceuticals,
                                      Massachusetts
Inc.


Orthoscript, Inc.                       Georgia - Northern District


Panalpina World Transport               USDOJ - Criminal Division - Fraud Section


Paradigm B.V.                           USDOJ - Criminal Division - Fraud Section 
Parkway Village                      New York - Eastern District


PartyGaming Plc                      New York - Southern District


Pasha Forwarders                     USDOJ - Antitrust Division 


Penn Traffic Company                 New York - Northern District


Petrocelli Electric Co.              New York - Southern District

Pfizer                               Massachusetts 
Pharmacia & Upjohn                   Massachusetts 
Pilgrim's Pride, Inc.                Texas - Eastern District


PNC Financial                        Pennsylvania - Western District


PPG Industries                       District of Columbia

Prudential Equity Group              Massachusetts

Prudential Securities                New York - Southern District


Purdue Pharma                        Virginia - Western District 


Quest Diagnortics, Inc. (& Nichols
                                     New York - Eastern District
Institute Diagnostics)

RAE Systems                          California - Northern District

Reliant Energy Services              California - Northern District 


Republic Services, Inc.              Texas - Southern District


RFK Institute                        California - Central District 

Roger Williams Medical Center        Rhode Island
Roman Catholic Archbishop of Boston     Massachusetts


Royal Ahold                             New York - Southern District 

Salomon Brothers
SB Pharmco Puerto Rico, Inc. (see
                                        Massachusetts
GSK)
Schering Plough                         Massachusetts

Schiavone Construction Co. LLC          New York - Eastern District


Schnitzer Steel                         USDOJ - Criminal Division - Fraud Section 

Sears                                   Illinois - Southern District
Sequa

Serono                                  Massachusetts

Shell Nigeria Exploration and Production
                                         USDOJ - Criminal Division - Fraud Section
Co., Ltd. 

Shoppers Food Warehouse Corp.           Maryland

Sigue                                   USDOJ - Criminal Division 

Sirchie Acquisition Co.                 North Carolina - Eastern District

Smith & Nephew PLC                      New Jersey


Snaprogetti Netherlands                 USDOJ - Criminal Division - Fraud Section


Spectranetics Corporation               Colorado


Sportingbet                             New York - Southern District

Statoil, ASA                            New York - Southern District

Stryker Orthopedics                     New Jersey 

Swift Beef                              Iowa - Northern District


Symbol Technologies                     New York - Eastern District
Technip S.A.                              USDOJ - Criminal Division - Fraud Section

Textron                                   USDOJ - Criminal Division - Fraud Section 

Tidewater Marine International            USDOJ - Criminal Division - Fraud Section



Tommy Hilfiger                            New York - Southern District 



Trace America

Transocean                                USDOJ - Criminal Division - Fraud Section

TriCare-Orthoscript                       USDOJ

Tyson Foods                               USDOJ - Criminal Division - Fraud Section



UBS AG                                    Florida - Southern District



Union Bank of California                  USDOJ - Criminal Division - Fraud Section 


United Bank for Africa                    New York - Southern District 

Universal Corp.                           USDOJ - Criminal Division - Fraud Section
University of Medicine and Dentistry of
                                          New Jersey
New Jersey

Unum Group                                California - Southern District



UTStarcom, Inc.                           USDOJ - Criminal Division - Fraud Section 



Vetco                                     USDOJ - Criminal Division - Fraud Section 


Wachovia                                  Florida - Southern District


Wellcare Health Plans, Inc.               Florida - Middle District
WesternGeco LLC (subsidiary of
                                      Texas
Schlumberger Seismic, Inc.)
Westinghouse Air Brake Technologies
                                      USDOJ - Criminal Division - Fraud Section
Corp. 

Whitehall Jewelers, Inc.              New York - Eastern District

Willbros                              USDOJ - Criminal Division - Fraud Section 
Williams Power Co.                    California - Northern District
Wright Medical Technology, Inc.       New Jersey




York International Corp.              USDOJ - Criminal Division - Fraud Section 




Zimmer Holdings Inc.                  New Jersey 
                                NP
U.S. Atty's Office 2    Date    or                   Crime
                                DP


                       Oct-10   DP FCPA; wire fraud




                                     Wire fraud; falsification of books and
                       Mar-08   DP
                                     records



                       Jan-07   DP False Claims
                       May-05   NP Sec. fraud

                       Jan-05   DP Fraud (commodities reports)
                       Aug-93   NP Fraud (pension funds)



                                     violation of the Foreign Corrupt
                       Jun-08   DP
                                     Practices Act



                                     Wire fraud; falsification of books and
                       Sep-09   DP
                                     records in violation of FCPA
                       Feb-07   DP FCPA
                       Dec-07   NP FCPA
                       Apr-07   DP Federal Program Fraud 


                       Dec-10   DP FCPA




                       Aug-10   DP FCPA


                                     Failure to maintain an anti-money
                       Aug-07   DP
                                     laundering compliance program
                                                        Violations of antifraud provisions and
                                                        aiding and abetting violations of
USDOJ - Criminal Division - Fraud Section   Nov-04   DP reporting and record keeping
                                                        provisions of the federal securities
                                                        laws


                                                          Misstatements in periodic financial
                                            Feb-06   NP
                                                          reports


                                                        Mail and wire fraud; accounting
                                                        improprieties; misrepresentations and
                                            Sep-08   NP
                                                        false statements to Dep't of
                                                        Commerce related to antidumping
                                            Oct-04   DP Bank Secrecy Act 


USDOJ - Criminal Division                   Dec-04   DP Sec. fraud


                                            Jan-07   DP Wire fraud

                                                          Arms Export Control Act and related
                                            Dec-93   DP
                                                          regs / other federal statutes

                                            Apr-96   DP Accounting fraud
                                            Jan-01   NP Accounting fraud



                                            Apr-07   DP FCPA


                                            Jan-03   DP Failure to file SARS
                                                        Money laundering, unlicensed money
New York - Eastern District                 Nov-05   NP transfers; no anti-money laundering
                                                        program
                                                        Bank Secrecy Act, failure to maintain
                                            Mar-06   DP
                                                        eff. anti-money laundering program
                                                        Knowing and willful violations of
                                                        International Emergency Economic
                                            Aug-10   DP
                                                        Powers Act; violations of Trading with
                                                        the Enemy Act
                                            Oct-06   NP Banking and sec. fraud

                                            Mar-11   DP Wire fraud


USDOJ - Criminal Division                   Apr-02   DP Accounting fraud
                                                                   Fraudulent mortgage practices;
USDOJ - Civil Division (separate agreement)        Jul-09     DP
                                                                   fraudulent accounting practices
                                                                   Anti-Kickback Statute  (payments to
                                                   Sep-07     DP
                                                                   doctors)
                                                                 Payments to customers including but
                                                                 not limited to physicians to induce
                                                   May-08     NP
                                                                 recommendations, prescriptions and
                                                                 purchases of a Biovail product
                                                                 Wire fraud; sale and receipt of stolen
                                                   Dec-10     DP
                                                                 property after transportation in
                                                                 interstate commerce
                                                    D
USDOJ - Criminal Division - Public Integrity Section  ec-07   DP Mail fraud




                                                                 Federal procurement fraud, conflict of
Virginia - Eastern District                        Jun-06     NP interest, use of competitor's
                                                                 information




                                                   Jun-05     DP Sec. fraud




                                                                   Mail and wire fraud, Commodities
                                                   Oct-07     DP
                                                                   Exchange Act



                                                                   Aided and abetted accounting fraud
                                                   Dec-03     DP
                                                                   (by Enron)
                                                   Jan-10     DP False statement
                                                                   Bribery (for purchases of Iraqi oil under
                                                   Nov-07     NP
                                                                   Oil-for-Food program)

                                                                 Conspiracy to commit wire fraud and
                                                   Dec-08     DP falsification of business records under
                                                                 FCPA


                                                                 Conspiracy to commit wire fraud and
                                                   Dec-08     DP falsification of business records under
                                                                 FCPA

                                                   Mar-07     NP Tax Fraud
                                                   hiring and continuing to employ
                                       Nov-09   DP unauthorized workers; making false
                                                   statements


                                       Sep-04   DP Sec. fraud; obstruction




                                                     Obtaining confidential bid info during K
                                       Sep-96   NP
                                                     selection; lying to grand jury

                                       Jun-10   NP

                                                   Failure to supervise and cotrol lending
                                                   in connection with certain corporate
                                                   acquisitions, and misconduct in
                                       Jun-99   NP
                                                   relation to same transactions
                                                   (Separate investigation underway by
                                                   French gov't)
                                                   Knowing and willful violations of
                                                   International Emergency Economic
                                       Dec-08   DP
                                                   Powers Act prohibiting unauthorized
                                                   export of services to Iran
                                                   Failure to take the proper steps to
Nevada                                 Oct-10   NP prevent the sale of PSE for illegal
                                                   purposes
                                       Mar-10   DP FCPA


                                       Mar-10   DP FCPA


                                       Sep-07   DP Anti-Kickback Law

USDOJ - Tax Division                   Dec-10   NP Tax evasion


                                                   CERCLA and Clean Water Act
                                                   violations: neglegent discharge of oil
USDOJ - Environmental Crimes Section   Apr-98   DP
                                                   and hazardous substances upon U.S.
                                                   shorelines


                                       Dec-04   DP Sec. fraud
                                                     Inappropriate off-label promotion of
                                       Dec-10   NP
                                                     drug
                       Feb-07   NP Anti-Kickback Law
                                     Illegal transactions (processing
                       Mar-07   NP
                                     payments for online gambling)


                                     Criminal violations by employees in
                       Jul-06   NP
                                     relation to disclosures to investors


                       Mar-07   DP False Statements




                                     charges related to illegal gambling,
                       Jun-08   DP
                                     both internationally and interstate




                       Dec-10   DP Anti-Kickback Law

                                     Illegal distribution of human growth
                       Sep-07   NP
                                     hormone

                       Aug-10   NP

                                   FCPA violations: Improper "referral
                                   fees" to agents of state-owned
                       Jun-08   NP
                                   Chinese entities and accompanying
                                   accounting improprieties
                       Nov-08   NP Invoice fraud


                                   Conspiracy to commit wire fraud and
                       Dec-08   DP falsification of business records under
                                   FCPA

                                     Environmental crimes, false
                       Jan-06   DP
                                     statements by employees

USDOJ - Tax Division   Apr-09   DP Tax fraud
                                                          Conspiracy to commit wire fraud and
                                              Feb-08   DP falsification of business records under
                                                          FCPA


USDOJ - Civil Division - Office of Consumer                 Illegal promotion of non-approved
                                              Sep-10   NP
Litigation                                                  drugs, False Claims Act


                                                            Securities fraud; consp to commit
                                              Nov-05   NP
                                                            bank and wire fraud



                                              Sep-07   NP Obstruction of mail


                                              Dec-04   NP FCPA




                                                          Securities fraud related to
                                              Jan-10   NP misstatements of AIG's general
                                                          insurance underwriting loss reserves



                                              Feb-06   DP Conspiracy to defraud IRS

USDOJ - Criminal Division                     Oct-10   NP False claims

                                                          FCPA violations: corrupt payments
                                                          and improper disclosures, accounting,
                                              Feb-09   NP
                                                          internal controls and record-keeping
                                                          associated with the foregoing


                                              May-06   NP Accounting fraud and sec. fraud


                                                          Improper payments to officials of
                                              Jul-09   NP foreign governments in violation of
                                                          FCPA
                                              Jan-06   NP Antitrust violations

                                              Feb-07   NP
                              Dec-01   NP




                                          Hiring and employment of illegal alien
                                          workers; document and identity fraud;
                              Dec-08   NP
                                          impeding the functions of the SSA and
                                          IRS; FLSA violations




                              Sep-02   NP




                                          Conspiracy to commit wire fraud and
                              Oct-07   DP falsification of business records under
                                          FCPA




                                            Intent to defraud / mislead causing
                              Oct-06   DP
                                            drug to be misbranded

                                            Foreign Corrupt Practices Act
                              Dec-04   DP
                                            (“FCPA”)

Virginia - Western District   Mar-07   DP Arms Export Control Act violations


                                          Conspiracy to commit wire fraud and
                              Dec-08   DP falsification of business records under
                                          FCPA


                                          hiring and continuing to employ illegal
                              Feb-08   DP aliens; providing false identification
                                          information to the SSA


                              Jul-07   NP Fraudulent drug marketing

                                          Securities fraud: failure to disclose to
                                          investing public activities and
                              Feb-00   NP
                                          beneficial ownership interest of a
                                          consultant (Irving Knott)
                              Mar-07   NP Tax fraud
                                 Mar-94   NP Mail fraud

Louisiana - Middle District      Dec-10   DP Anti-Kickback Statute

                                               Tax fraud, conspiracy to defraud IRS;
                                 Aug-05   DP
                                               tax evasion


                                 Aug-08   DP Mail fraud


                                 Oct-95   NP Wire fraud


                                 Oct-08   NP




                                             Knowing and willful violations of
                                             International Emergency Economic
                                 Jan-09   DP
                                             Powers Act prohibiting unauthorized
                                             export of services to Iran



                                 Nov-07   NP FCPA
                                 Jul-07   DP Health Care Fraud
                                 Sep-05   NP Sec. fraud

                                 Jan-09   NP

                                 Oct-06   NP

                                             Theft of gov't property, theft of mail
                                 Aug-06   NP
                                             matter, conspiracy
                                             False statements, aided/abetted
                                 Sep-03   NP
                                             Enron
                                 Oct-95   NP N/A.

                                 Feb-05   NP FCPA
                                             conspiracy; mail fraud; money
                                 Jun-08   NP laundering; obstruction of justice;
                                             criminal forfeiture

California - Northern District   Jul-07   DP False Commodities reporting
                               Jan-05   DP FCPA

                                             Failing to label sexually explicit
                               Sep-06   DP
                                             material



                               Jan-06   NP Antitrust violations
                                           Conspiracy to conduct an illegal
                               Jul-07   DP
                                           gambling business
                                           Fraudulent and anti-competitive
                               Mar-07   NP conduct in relation to the federal E-
                                           Rate program

                                             Violations of the Medicare Anti-
                               Jan-09   NP
                                             Kickback Act


                                             Fraud - reporting inflated circulation
                               Dec-07        numbers to advertisers through reports
                                             to trade organization


                               Dec-03   DP Conspiracy to defraud; tax fraud

                               Nov-10   NP FCPA

                                           Conspiracy to commit wire fraud and
                               May-09   DP falsification of business records in
                                           violation of FCPA

New York - Southern District   Jun-07   NP FCPA


                               Jun-05   DP Clean Water Act

                                             Unlawful Internet Gambling
                               Oct-09   NP
                                             Enforcement Act
                               Apr-10   NP Drug misbranding


                               Jun-05   DP Medicare fraud


                               Nov-10   DP FCPA


                               Sep-07   NP FCPA
                                                        CERCLA violation, failure to report
                                            Aug-08   NP
                                                        asbestos
                                                        Offering internet gambling services
                                                        and masked payment procedures to
                                            Apr-09   NP
                                                        US residents in knowing violation of
                                                        certain U.S. criminal laws
                                            Sep-06   NP Antitrust violations


                                                          Securities fraud related to diclosures
                                            Oct-08   NP
                                                          to SEC and investors


                                            Jul-09   NP Illegal payments and gifts

                                            Mar-07   NP Anti-Kickback Law
                                            Mar-07   DP Anti-Kickback Law
                                                        Alien smuggling crimes and unlawful
                                            Dec-09   NP
                                                        employment of aliens


USDOJ - Criminal Division - Fraud Section   Jun-03   DP Sec. fraud


                                                          Violation of International Emergency
                                            Dec-10   NP
                                                          Economic Powers Act
                                            Aug-08   NP Deceptive trading of mutual funds
                                                          Fraud in sale of limited partnership
                                            Oct-94   DP
                                                          interests


                                            May-07   NP Misbranding


                                                          Felony misbranding in violation of
                                            Apr-09   DP
                                                          Food, Drug and Cosmetic Act

                                            Dec-10   NP FCPA

                                                          Commodity price manipulation and
                                            Mar-07   DP
                                                          wire fraud
                                                        Immigration and fraud violations;
                                            Oct-08   NP conspiracy to commit mail fraud and
                                                        encourage unlawful immigration

                                            Nov-08   NP

                                            Jan-06   DP Public corruption
                                            Nov-05    NP

                                                           accounting fraud; false statements in
                                            Sep-06    NP
                                                           SEC filings
                                            May-92    NP
USDOJ - Criminal Division                   Oct-10    NP

                                            Aug-06    NP False statements to FDA

                                            Nov-10    NP Building construction fraud
                                                         bribery under FCPA; wire fraud; false
                                            2006-10
                                                      DP entries in books and records of public
                                                         corporation
                                            Apr-01    DP Mail fraud
                                            Jun-93    NP
                                                         Introduction of adulterated medical
                                            Oct-05    NP
                                                         devices to interstate commerce

                                            Nov-11    DP FCPA

                                            Sep-10    DP Bribery

                                                         Failure to maintain adequate anti-
                                            Jan-08    DP
                                                         money laundering program
                                                         Violations of Denial Order against
                                            Feb-10    DP
                                                         president of predecessor-in-interest

                                            Sep-07    DP Anti-Kickback Law


                                            Jul-10    DP FCPA bribery

                                                         Conspiracy to commit mail and wire
USDOJ - Office of Consumer Litigation       Dec-09    NP fraud; import violations; violations of
                                                         Food, Drug and Cosmetic Act
                                            Sep-10    NP Internet gambling violations

USDOJ - Criminal Division - Fraud Section   Oct-06    DP FCPA

                                            Oct-05    NP Anti-Kickback Law

                                            Oct-02    NP


                                            Jun-04    NP Accounting fraud
                                                   Jun-10   DP FCPA bribery

                                                   Aug-07   NP FCPA

                                                   Nov-10   DP FCPA bribery



                                                   Aug-05   NP mail fraud; wire fraud




                                                   Nov-10   DP FCPA bribery

                                                   Jun-05   NP False claims for Medicare payment

                                                   Feb-11   DP FCPA



                                                   Feb-09   DP Conspiracy to commit tax fraud



                                                                 Failure to establish adequate anti-
                                                   Sep-07   DP
                                                                 money laundering program

                                                   Jul-07   NP Obstruction of justice
                                                               Improper payments to officials of
Virginia - Eastern District                        Aug-10   NP foreign governments in violation of
                                                               FCPA
                                                   Dec-05   DP Health care fraud

                                                   Jun-08   NP



                                                   Dec-09   NP Violations of FCPA



                                                   Feb-07   DP FCPA


USDOJ - Criminal Division - Asset Forfeiture and                 Failure to maintain adequate anti-
                                                   Mar-10   DP
Money Laundering Section                                         money laundering program
                                                                 Conspiracy to commit health care
                                                   May-09   DP
                                                                 fraud
Jun-06   DP Immigration (visa) fraud

Feb-08   NP bribery in violation of FCPA


Sep-04   NP Bank fraud

May-08   DP FCPA
Feb-06   DP Fraudulent commodities reports
Oct-10   DP Anti-Kickback Statute




Oct-07   DP FCPA




Sep-07   DP Anti-Kickback Law
Indep. Monitor
                                   Compliance Program Required
    Req.
                 Yes - Compliance and ethics program designed to detect and prevent
                 violations of the FCPA and other applicable anti-corruption laws will
No
                 continue and will implement certification systems for senior managers
                 to ensure they are knowledgable



                 Yes -- system of internal accounting controls, implementation of
No
                 compliance code; assignment of senior corporate officials to oversight



Yes              Yes
No               No

No               No
No               No



                 Yes - system of internal accounting controls; implementation of
Yes
                 compliance code



                 Yes - Implement compliance and ethics program; enhance compliance
No
                 policies and procedures
                 Yes - implementation of compliance and ethics program; governance
No, but Company must comply with reports from Compliance Counsel
                 restructuring to ensure compliance
No               Yes; compliance code, disciplinary procedures, training
No               Yes, training, 2 year ban on participation in federal grant programs
Yes - DOJ
chooses from
                 Yes - retain compliance and ethics program; compliance code;
among 3 French
                 disciplinary procedures; system of internal accounting controls
nationals chosen
by company
Yes, proposed
               Yes - continue compliance program; review system of internal
by Company and
               accounting controls; rigorous compliance code
chosen by DOJ

                 Remedial measures designed to fully comply with the Bank Secrecy
No
                 Act
Yes, chosen by
DOJ, SEC, and
               Yes - series of reforms addresing the inegrity of client and third-party
AIG as part of
               transactions; establishment of transaction review committee
separate SEC
agreement
Yes, to conduct
a comprehensive Yes - Remediation plan re: controls over financial reporting; training and
examination and education program
review


No                No


No                No
Yes: 1 yr,
agreed upon by    Yes: new policies, including future reporting to the DOJ of any
DOJ, SEC, and     substantial, credible evidence of new federal crimes
AOL
No                Yes, retaining compliance officer, training, supervision, disclosure program


No                Yes


No                No
Yes: outside
                  Yes: new policies; confidential reporting by employees
consultant
Yes (Stephen
Fishbein,
                  Yes
Shearman &
Sterling LLP)
No                No
                  Yes: new policies, training; new management structure; reporting
Yes.
                  system

No                No

                  Yes; compliance procedures revamped, provide training for compliance
No                officers and employees; must provide notification of adoption of SWIFT
                  system and compliance with the agreement.

No                No

No                No


No                Yes: auditing; data collection
No                  No

                    Yes; compliance department expanded, policy review and needs
Yes 
                    assessment in process; Corporate Integrity Agreement with HHS-OIG


No                  No


                    Yes; establishment of Compliance officer; establish clear identity of
No
                    vendors and transactions
                    Yes, will strengthen compliance program to satisfy “in all respects” the
Yes 
                    U.S. Sentencing Guidelines requirements

Yes: Special
Compliance
                    Yes: training; discipline; prohibiting retaliation; hot line created;
Officer appointed
                    auditing of compliance program created; Interim Agreement with the Air
already under
                    Force providing for compliance, an independent monitor, and auditing of
Interim
                    compliance 
Agreement with
Air Force


Yes                 Yes: policy changes; data collection; info on website




Yes                 Yes




Yes.                Yes: auditing; policy changes; data collection; confidential reporting

No                  No

No                  Yes
Yes -
independent
                    Yes - Compliance and ethics program designed to detect and prevent
review and audit
                    violations of the FCPA and other applicable anti-corruption laws
of remedial
measures
Yes -
independent
                    Yes - Compliance and ethics program designed to detect and prevent
review and audit
                    violations of the FCPA and other applicable anti-corruption laws
of remedial
measures
No                  No
Yes: Annual
                  Yes - designation of compliance officer; establishment of review and
review by
                  self-reporting procedures; use of SSA's Social Security Number
outside
                  Verification Service; internal training program; agreements with
compliance
                  subcontractors
counsel
                  Yes: auditing; policy changes; data collection; confidential and public
Yes.
                  reporting




Yes.




No                No




                  Yes - Training, revision of certain policies, maintenance of electronic
No
                  records

                  Yes - compliance and ethics program that in part protects employees
No
                  who wish to report violations, install Compliance Officer
Yes; three
                  Yes; complicance and ethics program; system of financial and
years; proposed
                  accounting procedures, including system of internal controls
by Company and
approved by DOJ
Yes,
independent       Yes; enhanced compliance program, independent compliance officer,
compliance        other remedial measures
officer
                  Yes, appoint Compliance Officer as member of Management Board,
Yes
                  annual needs assessment
Yes, appointed    Yes, compliance and ethics program, training, new corporate
by USAO           governance committees

Yes, both
independent       Yes - Environmental compliance program to include: appointment of a
consultant and    designated responsible compliance officer; development of written work
independent       practice standards; training; and quaterly reporting to gov't.
auditor
                  Yes: new policies, training, compliance program; new executive
No
                  committee
                  Yes; must institute procedures and reviews to prevent future
                  misconduct; submit reports to OIG-HHS
No               No

No               No



No               No



No               No




Yes              Yes -- specifics unknown as Citadel Controls Report not attached




                  Yes; compliance code, separate compliance officer; trainining; hotlines
Yes, not less than one year

No               Yes, including new training program and records keeping




                 Yes - Review/modification of internal controls, policies and procedures
No
                 related to financial accounting and anti-corruption


No               No
Yes -
independent
                 Yes - Compliance and ethics program designed to detect and prevent
review and audit
                 violations of the FCPA and other applicable anti-corruption laws
of remedial
measures
No               No
                 Yes - Designate Compliance Officer to oversee implementation of Code
No               of Ethics, including periodic audits and duty to report quarterly to both
                 the Board of Directors and the gov't.
                 Yes -- system of internal accounting controls, implementation of
No.              compliance code; senior corporate official assigned to oversight;
                 reporting system; disciplinary procedures




Yes? (audit
committee of      Yes; have number of independent directors required under NYSE rules;
which majority of creation of audit committee, nomination committee and compensation
directors must    committee
be independent)



Yes: outside
                 Yes - company agrees to integrate InVision business into their existing
independent
                 FCPA compliance program; retain independent consultant
consultant



                 Yes - Company agrees to maintain redidiation measures already
No
                 implemented



                 Yes: compliance program as per U.S. Sentencing Guidelines; policy
No
                 changes; permanent restrictions on banking practices

No               None stated



No               No


Yes:
Governance
                Yes: actions taken or agreed to pursuant to SEC settlement
Consultant as
                incorporated in agreement
required by SEC
consent decree
                 Yes - strengthening of compliance, bookkeeping and internal controls
No
                 standards and procedures; periodic reporting to USDOJ

No               Yes
Yes -
independent
auditor to
conduct I-9
                 Yes - Adoption and maintenance of a comprehensive, risk-based
audits annually;
                 Compliance Program; designation of full-time Compliance Officer;
semi-annual
                 establishment of procedures and an internal training program
reports by
outside
compliance
counsel




Yes (Jeffrey M.
Kaplan) –
                  Yes, compliance and ethics program, internal accounting controls,
retained as an
                  compliance code, training, certifications
outside
consultant



No.               No.


Yes.              Yes: policy changes

Yes (Not Yet
                  Not stated
Named)
Yes -
independent
                 Yes - Compliance and ethics program designed to detect and prevent
review and audit
                 violations of the FCPA and other applicable anti-corruption laws
of remedial
measures

                  Yes; implementation of "best practices" as to completion of I-9 forms
No.
                  and social security number verification under IMAGE


No                Yes, Corporate Integrity Agreement with HHS incorporated


                  Yes - implementation of recommendations of independent expert;
Yes
                  executive certifications of progress

No                No; its offices “have already been or will soon be closed”
No              No

No              No

                Yes: policy changes; confidential reporting; compliance program as per
Yes.
                U.S. Sentencing Guidelines


                Yes - designed prevent violations of federal and state anti-corruption
No
                laws, including those by affiliates and subsidiaries


No              No




Yes -
independent
consultant to
review incoming Yes - Company agrees to undertake the further work necessary to
payment         enhance and optimixe its sanctions compliance programs.
messages
processed
between 2002-07
No              Yes; internal accounting controls, compliance code, training 
No              Yes, revise program in accord with U.S. Sentencing Guidelines
                Yes: compliance program as part of 2004 settlement with Okla.
No
                prosecutors and civil settlements




                Yes: compliance and ethics program that satisfies U.S. Sentencing
Yes.
                Guidelines; new training; auditing
                Yes: policy changes; confidential reporting; creation of a special
Yes.
                structure products committee to review transactions
No              Those already enacted by company; injunctive policy changes

Yes.            No

                Yes; implementation of "best practices" program under supervision of
Yes.
                the monitor and with specific req's re: referral fees and other fee sharing

No              No
Yes.            Yes: auditing; policy changes; confidential reporting; press release


Yes.            Yes: supervised by independent monitor




No              No
Yes             Yes, permanent restrictions, monitoring of controls


No              No

Not as a
covenant, but a
                Yes - pursuant to separate agreement with HHS
representation
by the Company


No              No



Yes.            Yes: auditing; new management; policy changes

                Yes - Continued use or modification of existing internal controls and
No
                procedures to ensure fair and accurate records; compliance code
                Yes - Adoption or modification of existing internal controls and
                procedures to ensure fair and accurate books, records and accounts
No
                and a rigorous anti-corruption compliance code, including periodic
                testing
No              No


No              Yes: auditing; data collection


No              No

No              No


No              No


                Yes, continue implementation of compliance program, review and
No
                modify as needed internal controls, provide reports to DOJ
Yes, retained
Skadden Arps
                Yes, review internal controls 
as Compliance
Counsel
          Yes, submit report to EPA for three years, site inspections,
No
          abatement, training, renovation of heating system


No        No


No        No, only cooperation with investigation


          Yes - conditioned on implementation and auditing of remedial
No
          measures represented as already taken


No        No, only cooperation with investigation

No        No
No        No
No        Yes


No        No


          Yes; reports to compliance officer; effective system of reporting and
No
          controls; training
No        Not stated
          Yes (previous SEC agreement); new outside director; confidential
Yes.
          reporting


Yes       Yes, corporate integrity agreement with HHS



Unknown   Unknown

          Yes; compliance program, submit reports to DOJ; new internal
No
          controls; internal reporting mechanisms

No        Yes, new corporate compliance plan

          Yes - new procedures to prevent violations of immigration laws, review
No        of books and records policies and procedures to ensure internal
          controls exist to prevent illegal billing practices



          Yes: revise ethical standards, in accord with U.S. Sentencing
Yes.
          Guidelines; hire Executive Ethics Officer; ethics training; written reports
No.             No (restitution = remedy in lawsuits referenced in agreement)




No              None stated

No              Continuing the already implemented measures


Yes.            Yes, per monitor's recommendations.

No              Injunctive policy changes; data collection; auditing
                N/A.
                Yes; Corporate Integrity Agreement (CIA); code of conduct; new written
No
                policies; training/education; electronic records
                Yes; continue compliance program; review of existing internal controls;
No
                compliance code; written report

No              Yes; continue compliance program

No              Yes, will spend $9.7 million to enhance anti-money laundering program

Yes - to be     Yes; continue compliance program and other remedial measures in
approved by DOJ place

Yes             Yes, Compliance Office, needs assessment, training, hotline
                Yes; continuation of compliance program, including: compliance code;
No              new system of accounting/financial procedures; training; periodic
                testing

No              Yes - adherence to previously implemented enhancements


No              No

Yes.            Yes.

Yes             Yes, Compliance Office, needs assessment, training, hotline




                Yes: new policies (training and educational program); new auditing firm;
Yes.
                appointed independent examiner
Yes - approved Yes; continue compliance program, review of internal controls;
by DOJ, 2 years compliance code; compliance officer; training; effective system for
                reporting
No              Yes
                  Yes; compliance code; continue compliance program; review internal
No
                  controls; confidential reporting


                  Yes; must adopt recommendations of special committee of BOD, sa
No.               well as ethics and compliance program per certain U.S. sentencing
                  guidelines



                  Yes; compliance program; modify existing controls; compliance code;
No
                  compliance officer; proper system of financial and accounting
                  Yes; terminate employment of [redacted]; not do business with
                  procedures; training; confidential reporting
No
                  [redacted]
                  Yes; corporate compliance program; revise internal controls;
No
                  compliance officer; financial and accounting procedure overhaul;
                  Yes - internal controls and training with respect to compliance with
                  training/certification;
                  obligations under Qualified Intermediary Agreement between Company
No                and IRS; revised governance structure for legal and compliance
                  functions; also, adoption of Exit Program for exit of company from the
                  US cross-border business

No                Yes, incorporates Consent Order with Comptroller of the Currency


No                No
Yes -- 3 years, Yes; corporate compliance program; internal accounting controls;
approved by DOJ compliance code; training/certification; reporting system; 
                Yes: new policies; confidential reporting; training programs; create
Yes 
                position of Chief Compliance Officer, new General Counsel.



No, but
Company must
                  Yes - strengthening of compliance, bookkeeping and internal controls
report
                  standards and procedures; periodic reporting to USDOJ
periodically to
DOJ
Yes, outside
                  Yes, new Executive Chairperson on Board, Compliance Committee on
Compliance
                  Board, outside Compliance Counsel
Counsel

Unknown           Unspecified remedial actions

Yes - for 18
                  Yes
month duration
No               No
                 Yes; internal accounting controls; compliance code; senior official
No.
                 oversight
                 Yes: hiring of Internal Audit Director; reporting hotline; compliance
Yes.             program; compliance committee; training program; whistleblower
                 protection; compliance reports to USAO E.D.N.Y.
Yes
No               No
Yes - approved   Yes; compliance program; training; hotline; needs assessment;
by DOJ           compliance officer; consulting services




Yes              Yes




Yes (John
Ashcroft,       Yes
Ashcroft Group)
              Pre-Agreement Compliance                        Unrelated Terms


Yes; implementation of compliance program that includes
retaining various senior officers and counsel to ensure No
adherence to FCPA




Yes; implementation of compliance and ethics program     No




None noted                                               No
None cited                                               No

None cited                                               No
$9.5M restitution; structural/policy changes; internal
                                                         No
investigation


Yes; internal investigation with results reported to DOJ;
cooperation with DOJ; implementation of compliance and No
ethics program



Internal investigation; remedial actions taken           No

Yes; implementation of compliance and ethics program     No
None Cited                                               No
None noted                                               No


Yes; implementation of compliance and ethics program     No




Yes; implementation of compliance and ethics program     No



Unspecified remedial actions                             No
Unspecified remedial actions                                No


Certain corporate governance reforms, incl. ensuring
committee review of internal audit, ensuring disclosure
committee establishment, establishing enhanced              No
governance procedures and implementing a general
insurance risk-transfer policy
Replacement of officers; issued restated financials;
revised Board governance, including establishment of
                                                            No
independent chaiman; revised controls, policies and
procedures and instituted training
Revised policies with respect to responding to grand jury
                                                            No
subpoenas


None cited                                                  No


None Cited                                                  No

Yes; implementation of compliance program (specifics
                                                            No
unknown as Exhibit "1" missing)

None listed                                                 No 
Immediate disclosure; voluntary cooperation; termination
                                                            No
of employees; compliance program

Compliance program implemented, including reporting
system, helpline, training, certification process, review   No 
committee

None listed                                                 No

Retained law firm to conduct investigation; shared results No


Investments in personnel and compliance systems             No


None cited                                                  No


Yes: new management took over                               No

No                                                          No


None cited                                                  No
Self-reporting; termination of executives and employees
identified as responsible for the misconduct; cessation of No
business activities by offending subsidiary
Pre-agreement ethics codes                                 No
                                                           Fulfillment of material obligation in
                                                           separate plea agreement; enter into
None cited                                                 separate Civil settlemen Agreement; enter
                                                           into separate Corporate Integrity
                                                           Agreement with HHS
None cited                                                 No
                                                           Yes, $20 million to be paid to state trust
Yes, represents that it created an enhanced compliance
                                                           fund administered by Foundation for
program
                                                           affordable health services



Yes: changes to ethics and compliance program; interim
agreement with Air Force in 2005; appointing “Special  No
Compliance Officer” as a monitor



Entering SEC consent decree, retained independent
                                                           Yes: endow chair in ethics at Seton Hall
advisor; personnel changes; created two positions on
                                                           Law School
Board of Directors; reporting



None noted                                                 No



Agreement with OSFI and Federal Reserve of NY (new
                                                           No
policies)
None noted                                                 No

None noted                                                 No


Self-reporting; further remedial measures to insure against
                                                            No
reoccurrence



Self-reporting; further remedial measures to insure against
                                                            No
reoccurrence


None noted                                                 No
None noted                                              No


Terminate employees; add two independent directors to
board; new CEO; reorganize Finance and Internal Audit   No
Departments



                                                        Yes: 3000 hrs community service; teach
                                                        ethics classes




Substantial efforts to make U.S. interests whole; change
                                                         No
in management and new Executive committee




Voluntary termination of offending conduct              No


Yes; implemented program of enhanced training and
                                                        No
compliance with respect to the sale of PSE

Yes; implementation of compliance and ethics program    No


Yes; retained independent compliance officer and
                                                        No
instituted enhanced compliance program

Compliance policies, compliance officer and committees,
                                                        No
training, auditing

Yes;  internal control systems enhanced                 No




None cited                                              No



None cited                                              No
No                                                          No

Froze illegal accounts                                      No
Remedial action taken to insure integrity of financial
reporting, including establishing a full-time dedicated
CFO; appointment of financial expert as audic committee
                                                           No
chair; adoption of code of ethics; implementation of new
policies & procedures; establishment of training program;
revision of D&O indemnification policy
Yes, cited initiation of compliance program and cooperationNo




Yes; implementation of compliance program with
"permanent" restrictions / controls re: illegal gambling;   No
cooperation in criminal investigation




Yes; code of compliance, governance committees,
                                                            No
separate chief compliance officer

None noted                                                  No




None noted                                                  No


None noted                                                  No


Self-reporting; further remedial measures to insure against
                                                            No
reoccurrence


Extensive corrective actions with ongoing supervision of
                                                            Yes: Fund community serv projects
NRC

Drafted a Code of Business Ethics                           No
Yes; internal investigation of criminal conduct and
reporting of findings; cooperation in external investigation; No
remedial measures




Yes; internal investigation; sharing of results of
                                                            Can object to corporate charter for any
investigation, including attorney-client privileged
                                                            reorganized entity emerging from
information; removal of involved officers / employees;
                                                            bankruptcy "on any basis" and in exercise
appointment of new management; cooperation with
                                                            of sole discretion)
ongoing investigations.




None stated                                                 No

Appointment of independent director who will serve on
Audit Committee; parent company representation at Audit
Committee meetings; creation of Complex Transaction         If Company fails to dissolve subsidiary
Committee to review reinsurance transactions;               Cologne Re Dublin within 3 years, DOJ
enhancement of review and reporting by Internal Audit;      may consider such fact in determining
establishment of Risk Committee; institution of training    compliance under the agreement
and implementation of underwriting rules; preparation to
dissolve offending subsidiary
None cited                                                  No

None stated                                                 No



No                                                          No


Adoption of new compliance policies; payments in SEC
consent decree; new management, new CEO, CFO, new
Chief Compliance Officer, new General Counsel;       No
terminated employees; confidential hotline; retained
consultant
Self-discovered and reported violations; unspecified
                                                            No
"extensive" remedial efforts

None noted                                                  No
Independent review of hiring practices; self-reporting of
                                                             No
violations




Yes, compliance and ethics program implemented               No




Yes; conducted internal investigation and reported
results; cooperation with external investigation; pre-
                                                             No.
investigation compliance measures, such as policy
changes, audits, etc.
Voluntary disclosure; prompt disciplinary action; no prior
                                                             No
history

No                                                           No



Self-reporting; further remedial measures to insure against
                                                            No
reoccurrence


                                                           Yes; free public workshop held quarterly to
Yes; cooperation with U.S. and other regulatory agencies. train employers re: how to complete I-9
                                                           forms, adhere to the best IMAGE
                                                           practices, etc.
Yes, including review of alleged illegality, training, new
code of conduct, Chief Compliance Officer appointed,       No
replacing sales staff
                                                           Company shall not sell or transfer any of
Change in ownership and control and management             its interest in JB Oxford Compant to Irving
personnel                                                  Knott or any of Irving Knott's known
                                                           associates
None noted                                                 No
Internal investigation; voluntary disclosure; waived
                                                             No
privilege; new policies

Yes, remedial measures                                       No


None cited                                                   No

                                                             Company shall not re-employ an officer or
                                                             elect as director any individual who
Compliance and ethis program implementation
                                                             formerly served in such position on or
                                                             before the date of the agreement
New compliance policies; internal investigation voluntary
                                                             No
notification; waived privilege




Internal investigation and review of operations, including
regular and detailed updates of findings to USDOJ (and       No
D.A of County of New York)



None noted                                                   No
Yes, previous compliance program to be revised               No
None cited                                                   No




None cited                                                   No

None cited                                                   No 

Administrative payment to U.S.; new compliance policies No
Voluntary disclosure; disciplinary action of employees, no
                                                           No
prior criminal history

Yes; agency cooperation                                      No.


None cited                                                   No
Internal investigation; voluntary reporting; new policies     No


None                                                          No




None noted                                                    No
Yes, retained forensic accounting firm                        No


None cited                                                    No


Internal investigation, institution of compliance program;
reformation of business practices; discontinuance of          No
offending referral program
Internal investigation; termination of responsible
employees; institution of enforcement measures;
institution of circulation audits; implementation of field-   No
testing; enhanced verification procedure; payment of $83
million in restitution
Formation of oversight committee; retain outside firm to      Yes: Video lottery terminals installed at
review; new policies; confidential reporting                  racetracks

Yes; already had compliance program in place                  No


Internal investigation; prompt reporting to DOJ;
                                                              No
implementation of compliance and ethics program


Yes, implementation of a compliance policy                    No

New policies and compliance structure; confidential           Yes: Gift to Alumni Ass'n for Coast Guard
reporting; compliance program; new management                 Academy to endow chair for envtl study

No                                                            No

No                                                            No
                                                              This NP agreement is one in a series of
                                                              interconnected agreements between
None cited
                                                              Company and USDOJ, OIG-HHS, OPM
                                                              and other parties
Yes, conducted investigations into compliance, creation
                                                              No
and implementation of compliance program
Yes, conducted investigation during due diligence
concerning public offering, instituted “extensive remedial    No
compliance measures”
                                                          Not unrelated, but must take out ads in
None stated
                                                          newspapers informing public of their
                                                          misdeeds
None cited                                                No


None cited                                                No
Remedial measures, including Audit Committee
investigation, amendment of code of ethics,
                                                          No
implementation of new policies and procedures and
development of education program

None cited                                                No

Yes, side letter agreement premised on full performance
                                                          No
of Pharmacia & Upjohn LLC DPA
Yes, notes “remedial actions to date”                     No
None cited                                                No
“[E]xceptional remedial measures” and separate
agreements with the SEC, the Federal Reserve Bank of
                                                          No
Cleveland and Federal Reserve Board, and the Office of
the Comptroller of the Currency
None stated                                               No

Yes, notes "remedial actions to date"                     No

None listed                                               No


None noted                                                No



Unknown                                                   Unknown

Yes, notes "extensive remedial efforts already
                                                          No
undertaken"

Yes, adoption of internal controls                        No
Termination/discipline of responsible employees;
company-wide training; issuance of I-9 self audit
                                                          No
guidelines; implementation on new payroll software;
training investigators; appointing a CCO


Yes: previously adopted compliance program and prior
                                                          Yes: $4M in free health care to the public
Corporate Integrity Agreement with HHS
None referenced.                                             No.




None stated                                                  No
Yes; termination of responsible employees; hired
                                                             No
Compliance officer; compliance and ethics program;
anonymous reporting; training
Yes; initiation of investigation by outside legal counsel,
voluntary disclosure to DOJ and SEC; cooperation with        No.
ongoing investigation
None listed                                                  No


Yes; compliance program; Compliance officer                  No

Yes; implementation of enhanced compliance program           No

Yes; revision and enhancement of corporate ethics and
                                                             No
compliance; other remedial measures
Yes, describes “considerable resources” devoted to
                                                             No
remedial measures prior to agreement
Yes; banned prior CEO from premesis; compliance and
auditing program; committed to retention of independent      No
monitor; whistle-blower hotline;
Yes, cites remedial actions to date, including “robust
                                                             No
compliance program”
Yes; implementation of compliance program; review of
                                                             No
internal controls


Implementation of enhanced compliance procedures             No


No                                                           No

Simultaneous compliance agreement with SEC                   No

None cited                                                   No



Retained firm to conduct internal investigation; shared
results; waived privilege; termination of new employees;
                                                             No
new management appointed; restructured Board of
Directors, new policies; confidential reporting
Yes; enhanced compliance program                            No

Yes, notes “long-standing compliance program”               No
Yes; voluntarily expanded internal investigation; appointed
                                                            No
compliance officer; compliance policy; revised code of
conduct


None specifically referenced.                               No.




                                                              No
Yes; voluntary investigation, hired compliance officer; internal audit team; revised code of conduct; training program;

No                                                          No

                                                          No
Yes; investigation; other remedial measures that are unspecified


                                                            Company agrees to disclosure of certain
Cooperative efforts; provision of data
                                                            client data to the Government


Yes, notes “considerable resources” devoted to improved
                                                        No
compliance procedures
Yes, subsequent merger and management change with
                                                            No
compliance reforms
Yes; cites unspecified remedial actions                     No
Yes: cites “remedial actions to date” without detailing
                                                            No
them




Unspecified remedial actions                                No



Yes, new compliance and ethics program implemented          No


Unspecified remedial actions                                No


Unspecified remedial actions                                No
Yes: cites “remedial actions” taken including “a
                                                        No
comprehensive compliance program”
None referenced.                                        No.
Yes: terminated employment of those involved; committed
to hiring new President, General Counsel, Internal Audit No
Director; instituted comprehensive compliance program

Yes: “remedial actions to date” cited                   No
Unspecified remedial actions                            No




Yes, retained Ernst & Young LLP and other remedial
                                                        No
measures




None noted                                              No
                                                Foreign / Domestic
     Priv. Waiv.                 Reg. Agency
                                                Incorporated Firm


No                 None                        Foreign


No; but withholding
on grounds of
privilege shall be a
factor in            None                      Foreign
determining
whether full
cooperation exists
No                 USAID                       Domestic
No                 SEC, USPIS                  Domestic
                                               Domestic
Yes                None                        Domestic
No                 None                        Domestic
No; but withholding
on grounds of
privilege shall be a
factor in            None                      Domestic
determining
whether full
cooperation exists
No                 SEC (separate agreement)    Foreign

Yes                None stated                 Foreign
No                 None                        Foreign
No                 IRS                         Domestic


No                 None                        Foreign




None stated        None stated                 Domestic



None stated        None stated                 Domestic
No                  SEC                Domestic




Yes                 SEC; USPIS         Domestic




No                  None stated        Domestic


No                  None               Domestic


Yes                 SEC                Domestic


Yes                 No                 Domestic


No                  None               Domestic


Yes                 IRS                Domestic
Yes                 SEC                Domestic
No; but withholding
shall be  a factor in
determining           SEC              Domestic
whether BHI has
fully cooperated
No                    Fin-CEN          Domestic

Yes                 None               Domestic


No                  None               Domestic


No                  None               Foreign


No                  USPIS, SEC, CFTC   Foreign

Not stated          None               Domestic


Yes                 None               Domestic
No                  HUD; FHA                           Domestic


No                  HHS-OIG, USPIS                     Domestic


Yes, limited to the
matter under        Health & Human Services            Domestic
investigation


Not stated          None                               Domestic


Yes                 None                               Domestic




No                  NASA, NASA -OIG, USAF, DOD-OIG     Domestic




Yes                 None                               Domestic

No; but withholding
on grounds of
privilege shall be  a
factor in             CFTC                             Domestic
determining
whether BP has
fully cooperated
Yes                 SEC                                Foreign

Not stated          None stated                        Domestic
                    Office of Foreign Asset Controls
No                                                     Domestic
                    (OFAC), Treasury Dept.; SEC


No                  None stated                        Foreign




No                  None stated                        Foreign


No                  USPIS, SEC                         Domestic
                  DHS; Immigration & Customs
No                                             Domestic
                  Enforcement



Yes               SEC                          Domestic


                                               Domestic


                                               Domestic

                                               Domestic




No                None                         Foreign




No                None stated                  Foreign


No                DEA                          Domestic


No                SEC                          Foreign


No                SEC                          Foreign


No                HHS-OIG, USPIS               Domestic

No                IRS                          Foreign

Yes, but does not
extend to opinions
of counsel, mental
                   None stated                 Domestic
impressions of
counsel or legal
advice
Yes               SEC, USPIS                   Domestic

                  OIG-HHS                      Domestic
                  SEC, Office of Foreign Assets Control
Yes                                                       Domestic
                  of the Dept. Treasury
No                None                                    Domestic


Yes, but does not
apply to protected
                    FBI; USPIS                            Domestic
information created
after 1/1/2003

No                  No                                    Domestic
No, but in
considering
whether to
withhold privileged
docs, ESI
instructed to
"tak[e] into        None                                  Domestic
account whether
providing access
to the requested
material would
assist the Monitor
in performing its
duties . . . . "
No                  OIG-HHS, FBI, USPIS                   Domestic

No                FDA                                     Domestic

                                                          Domestic


No                None                                    Domestic


No                USDA                                    Domestic



No                None stated                             Foreign



NA                NRC                                     Domestic


No                IRS                                     Domestic
No; but withholding
on grounds of
privilege shall be a
factor in            None                                    Domestic
determining
whether full
cooperation exists

No                  FBI, OIG-HHS, VA                         Domestic



Yes.                SEC                                      Domestic



                    FBI                                      Domestic


                    SEC                                       Domestic
Yes, limited to matter under investigation, excluding attorney work-product




No                  SEC                                      Domestic




N/A                 IRS                                      Foreign

No                  OIG-HHS, TMA, VA                         Domestic



No                  None stated                              Domestic




No                  SEC, IRS, USPIS                          Domestic



No                  None stated                              Domestic

No                  None                                     Foreign

                                                             Domestic
                                                         N/A




No                 SSA                                   Domestic




                                                         Domestic

No; but withholding
on grounds of
privilege shall be  a
factor in             SEC; USDOJ, Criminal Division, Fraud
                                                           Domestic
determining           Section
whether Ingersoll-
Rand has fully
cooperated


No.                OIG-HHS                               Domestic


Yes                SEC                                   Domestic


Not stated         No                                    Domestic



No                 None stated                           Foreign


                   None, but uses standards from U.S.
                   Dept. of Homeland Security,
Yes.                                                   Domestic
                   Immigration and Customs Enforcement
                   ("IMAGE")

No                 HHS, VA, FDA                          Domestic



No                 SEC; NASD (now FINRA)                 Domestic


No                 IRS                                   Domestic
Yes              None                                  Domestic

No               OIG-HHS                               Domestic


Yes              IRS                                   Domestic



No               None stated                           Domestic


Already waived   None                                  Domestic


                                                       Domestic




No               None stated                           Foreign




No               SEC                                   Domestic
No               HHS-OIG                               Domestic
No               SEC                                   Domestic

                                                       Domestic

                                                       Domestic

                 USPIS, Dep't Treasury Inspector Gen
Yes                                                    Domestic
                 for Tax Admin
No               SEC                                   Domestic

Already waived   None                                  Domestic

Yes              SEC                                   Domestic


No.              IRS, USPIS                            Domestic


No               CFTC                                  Domestic

                                                       Domestic
Yes          None                                 Domestic


No           None                                 Domestic


                                                  Domestic
None         None                                 Foreign
No           None                                 Domestic


No           None stated                          Domestic


             HHS, Office of Inspector General
No                                                Domestic
             (separate agreement)



             USPIS; IRS                           Domestic



Yes          None                                 Domestic

No           None                                 Domestic



No           SEC                                  Foreign


Yes          SEC                                  Domestic


Yes          None                                 Domestic


Not stated   FBI                                  Domestic

No           None stated                          Domestic

             HHS, Office of Inspector General (OIG-
             HHS); Office of Personnel Management Domestic
             (OPM)

No           None stated                          Foreign


             SEC; USDOJ, Criminal Division, Fraud
No                                                Foreign
             Section
No              FBI, EPA                           Domestic


No              FBI                                Domestic


No              No                                 Domestic


No              FBI; SEC                           Domestic


No              FBI, Department of Labor           Domestic

No              No                                 Domestic
No              No                                 Domestic
No              ICE                                Domestic


Yes             None                               Domestic


Yes             BIS                                Foreign

Yes             SEC                                Domestic

Yes (limited)   SEC, USPIS                         Domestic


No              HHS-OIG                            Domestic


                HHS, Office of Inspector General
Unknown         (separate Corporate Integrity      Domestic
                agreement)

No              None stated                        Domestic

Yes             FERC                               Domestic


No              None stated                        Domestic


                                                   Domestic

Yes             None                               Domestic
                                                    Domestic


No.              SEC                                Domestic

                                                    Domestic
                                                    Domestic

Yes              FDA                                Domestic

No               Labor, DOL-OIG, DOT-OIG, MTA-OIG   Domestic


No.              SEC                                Domestic

Yes              None                               Domestic
                                                    Domestic

Yes              HHS-OIG, OPM                       Domestic

No               None stated                        Foreign

No               None stated                        Domestic

No               DEA, IRS                           Domestic

No               Commerce                           Domestic

No               HHS-OIG, USPIS                     Foreign


No               None stated                        Foreign

                 HHS, Office of Inspector General
No               (separate Corporate Integrity      Domestic
                 agreement)
Unknown          FBI                                Foreign

                 SEC                                Foreign

No               HHS-OIG, USPIS                     Domestic

                                                    Domestic


Previously waived SEC, USPIS                        Domestic
No                  FBI                                   Foreign

No                  SEC                                   Domestic

No                  Not stated                            Domestic
No. (p. 2 does not
appear to be
waiver, since only
                     IRS                                  Domestic
applies to docs
voluntarily provided
by THUSA)
                                                          Domestic

No                  None stated                           Foreign
Yes, limited to
                    OIG-HHS, OPM                          Domestic
matters under
investigation
No                  SEC                                   Domestic



No                  IRS                                   Foreign



                    Federal Reserve Board, Dept. Treasure,
No                                                         Domestic
                    Office of Comptroller of the Currency

No                  No                                    Foreign

No                  None stated                           Domestic

Yes                 None                                  Domestic

                                                          Domestic



No                  None stated                           Domestic



Yes                 None                                  Domestic


No                  None stated                           Domestic

                    Florida AG is also a party to the
No                                                        Domestic
                    agreement
                    USPIS, Dep't Labor, OIG, IRS, Dep't
Yes                                                       Domestic
                    State Diplomatic Sec Serv
No.                 None.                                 Domestic


No                  USPIS                                 Domestic

                    SEC                                   Domestic
Yes                 CFTC                                  Domestic
No                  USPIS, FBI, OIG-HHS                   Domestic

No; but withholding
on grounds of
privilege shall be  a
factor in
                      SEC                                 Domestic
determining
whether York Int'l
has fully
cooperated

No                  HHS, USPIS                            Domestic
Publicly Listed Firm (in
                                 Fine                 Foreign Firm Fine
         U.S.)


Yes                                     $30,420,000                 $30,420,000




Yes                                      $7,000,000                  $7,000,000




No (parent, ABT Inc. is
                                         $2,121,688
listed)
Yes                                             $0
No                         N/A
Yes                                     $30,000,000
Yes                                             $0




Yes                                      $2,000,000




Yes                                      $1,600,000                  $1,600,000

No                                                0                           0
Yes                                               0                           0
No                                                0


Yes                                     $92,000,000                 $92,000,000




Yes                                             $0


No (American Express
and many others are                             $0
listed, however)
Yes                             $80,000




Yes                            $100,000




Yes                           $7,500,000


Yes                                    0


Yes                          $60,000,000


Yes                                    0


No                                     0


No                                     0
Yes                                    0



Yes                                  $0


Yes                          $20,000,000

Yes                                  $0


Yes                          $10,000,000


Yes                                  $0    $0


No                                   $0    $0

Yes                                  $0


No (BDO Capital is listed)           $0
Yes                                      $0


Yes                                      $0


No (Biovail Corp. is listed,
                                $22,200,000
but Biovail Pharm is not)


No                                       $0
No (NJ, SC, TX,
Wisconsin listed, as is         $20,000,000
Wellpoint Health)




Yes                             $50,000,000




Yes                                      $0




Yes                            $100,000,000




Yes                                       0          0

No                                $267,000

Yes                              $5,000,000



No (Fiat, parent, is listed)        See Fiat   See Fiat




No (Fiat, parent, is listed)        See Fiat   See Fiat


Yes                                      $0
No                          $1,500,000




Yes                                $0


No (ConAgra Food,
                                   N/A
parent, is listed)

No                                 N/A


No                                 N/A




Yes                                $0            $0




Yes                                $0            $0


No (CVS Caremark Corp
and other CVS                      $0
subsidiaries are listed)
Yes                        $93,600,000   $93,600,000


No (DaimlerCrysler,
                                   $0            $0
parent, is listed)

Yes                                $0

Yes                                $0            $0




No                                 $0




Yes                        $75,000,000

Yes                        $97,050,266   $97,050,266
Yes                                  $0

Yes                                  $0




Yes                                  $0



No                            $2,500,000




No                            $9,114,342




Yes                                  $0

Yes                          $10,500,000

No                                   N/A



Yes                           $1,100,000


Yes                                  $0



Yes                           $7,000,000   $7,000,000



No (FirstEnergy is listed)   $23,000,000


No                             $500,000
Yes                        $4,000,000




Yes                      $150,000,000



Yes                               $0




No                                N/A


Yes                               $0




Yes                               $0




No                         $6,449,802   $6,449,802


Yes                      $140,000,000



Yes                               $0




Yes                               $0




Yes                        $1,000,000

No (Hitachi Capital is
                                  $0         None
listed)
No                                N/A
Yes                                    N/A




Yes                             $2,565,317




No (IMC Carlsbad,
                                       N/A
Colonsay are listed)




Yes                             $2,500,000




Yes                            $36,944,000


Yes (GE Invision)                $800,000


Yes                            $52,000,000




No (Fiat, parent, is listed)       See Fiat   See Fiat




No                                 214,500



Yes                             $5,000,000



Yes                             $2,000,000


No                                      $0
No (John Hancock listed)

Yes                             $3,360,000


Yes                           $228,000,000



Yes                            $30,000,000


Yes                                    $0


No                                     N/A




Yes                                    $0           $0




Yes                             $1,000,000   $1,000,000
Yes                            $30,500,000
Yes

No                                     N/A


Yes (Medicis Pharma)                   N/A

Yes                                    $0

Yes                                    $0

Yes

Yes                              $450,000


No                             $75,000,000


No (Mirant Corp. is listed)    $11,000,000


No                                     N/A
Yes                      $1,000,000

No (MRA Asset
                         $2,100,000
Management is listed)

No                              N/A

Yes                             $0            $0
No                              $0


No                              $0



Yes                      $1,200,000




No                              $0



No                       $3,000,000


Yes                      $2,590,000



Yes                      $9,000,000    $9,000,000


No                              $0


No                              $0


Yes                             $0

No                       $6,143,407



No                        $823,962


No                      $70,560,000   $70,560,000


No                       $1,000,000    $1,000,000
Yes                                  $0


Yes                                  $0



No (Pasha's Group listed)            $0



Yes                                  $0



No                                   $0


Yes
Yes                          $19,680,000
Yes                           $4,500,000


Yes                          $25,000,000


Yes                           $2,000,000   $2,000,000
Yes (both Prudential
                            $325,000,000
Equity Fund and Equity
Group listed)
Yes


No                             $500,000



Yes                          $40,000,000


Yes                           $1,700,000

Yes                          $36,000,000


Yes                           $3,000,000


No                                   N/A

No                                   $0
No                                       N/A


Yes                           $1,100,000,000

Yes                                      N/A

No (GSK is listed)      See Glaxo Smith Kline

Yes                                       $0

No                                        $0


Yes                               $7,500,000

Yes                              $62,600,000
Yes

Yes                            $136,936,000


No (Shell Co. listed)            $30,000,000     $30,000,000


Yes                               $2,500,000

No                                        $0

No                               $12,600,000

Yes                                       $0             $0


No                             $240,000,000     $240,000,000


Yes                                       $0


Yes                                       $0             $0

Yes                              $10,500,000     $10,500,000

Yes                                       $0

Yes                                       $0



Yes                                       $0
Yes   $240,000,000   $240,000,000

Yes     $1,150,000

No      $7,350,000




Yes            $0



No             N/A

Yes    $13,440,000    $13,440,000

No        $65,000

Yes     $4,000,000



Yes            $0             $0




Yes    $21,600,000


Yes            $0             $0

Yes     $4,400,000

No

Yes            N/A




Yes     $1,500,000




Yes            $0


Yes    $50,000,000


Yes            $0
No (Schlumberger Ltd.
                        $18,000,000
Listed)
Yes                         300,000


Yes                       $250,000

Yes                     $32,300,000
No                      $50,000,000

Yes                             $0




Yes                     $10,000,000




Yes                             $0
Restitution / Disgorgement /
                                  Additional Civil Penalty
          Forfeiture




                       $194,578                        $583,734
                   $715,000,000



                     $3,700,000                      $1,000,000
               $40,000,000


$150,000,000


   $225,000


                    20,000


 $10,500,000




               $21,600,000

 $38,000,000




$149,000,000


$337,500,000

 $12,112,416


 $16,000,000
$15,000,000




$182,404.75




$50,000,000   $100,000,000
$225,000,000




  $2,600,000   $75,000,000




$553,663,153




  $3,600,000
$5,482,363

$2,300,000
$14,000,000




$10,000,000
$28,000,000   $20,000,000
$19,182,418
$490,612




 $32,319
$20,000,000




$33,000,000
$110,000,000
Community Service
$25,000,000 to UPSIP Consumer Fraud
                                Fund
$2,000,000
$2M to Coast Guard Academy; $1M to
Greater New Haven Water Pollution
Control Authority
$270,000,000
                                         Fines



$30,420,000




$7M fine.




$2.9 million in fines and restitution 
$715M restitution

$30M fine.
$3.7M restitution; civil assessment $1M 




$2M fine.




$1.6M fine

None
No, based on criminal fine to be paid to Dutch Public Prosecutor
$894,674 in forfeiture


$92,000,000 fine




                                                                   None



$55M settlement of civil and criminal forfeiture claims
$80M in fines (assesed assessed against AIG Financial Products Corp.);
Disgorgement of $39.8M in fees and $6.5M in prejudgment interest



$25M paid to USPIS Consumer Fraud Fund;
$100K fine + $800,000,000 disgorged profits paid pursuant to consent and
undertakings in SEC Action (incorporated by reference)



$7.5M


$40M forfeiture to gov't


$150M to compensation/settlement fund; $60M fine


$255,000 civil forfeiture, $2.5 million civil settlement with R.J. Reynolds Tobacco


$20K.


$10.3M reimbursement fund; $200,000 costs
None listed



None


$21.6M settlement; $20M fine

$12M restitution; $26M in civil settlements


$10M settlement with gov't


$149,000,000 forefeiture, and an additional $149,000,000 to Manhattan
District Attorney

$337.5M to U.S. bankruptcy estate in Refco case and victims; further
payments depending on sale price of bank
$12,112,416 in restitution


$16M restitution
Up to $50M in restitution ($10M payable immediately); At least $5M
compensation to FHA

None; simultaneous settlement with DOJ Civil Division



$22.2M criminal fines; $2.4M to settle civil claims



$182404.75 restitution


$20 million




$50M penalty, $565M civil settlement




$150 million in restitution and compensation; also a $300M compensation
fund in separate civil suit



$100 million fine; $53,503,000  victim restitution fund; $25 million to US
Postal Service Consumer Fraud Fund



$80M to SEC

                                                           $267,000 settlement

$20 million in restitution to Iraq Oil Fund; $5 million to New York Country
District Attorney's Office; $2 million to OFAC


$7 million




$7 million


None (in light of bankruptcy)
$1.5M



$225M restitution; $163M civil compensation in separate civil suit




$2.75M settlement with gov't; $725,000 to Ariz.




None (Up to $3M for material breaches of the NPA ($150K per breach); up to
$7.5M fine stipulated if prosecution is instituted ($500K per felony offense))



$286M forfeiture (additional $286M forfeiture to D.A. of County of New York
under separate agreement)


$2,600,000 restitution, $75,000,000 civil penalty


                                                                  $93,600,000




None

553663153 forfeiture




None



$75M and $200,000 in costs to U.S. Postal Service
$97,050,266 for Elan Corp. for criminal penalty; $3.6M forfeiture for US
subsidiary EPI.
$5.482,363 in disgorgement

$2.3 million disgorgement



None



$2.5 million




$9,114,342.00, plus any additional funds identified that are related to illegal
internet gambling operations




Separate $2,991,889 settlement of administrative and civil claims

$10.5 million




$1.1 million


Full restitution



$7 million



$23M fines; $4.3M community service


$668,141 restitution for unpaid lax liability; $500K fine
$4M




Separate criminal fines pursuant to conviction, and civil settlement of $88,000,000 to federal government and $60,000,000 t


$2M to the United States Postal Inspection Service Consumer Fraud Fund
(plus any difference between $2M and >$2M total amount paid to other
governmental agencies as part of bankruptcy)


$47,555 to six private individuals




$60.5 million restitution to AIG shareholders in settlement of civil class
action;
$19.5 million to USPIS Consumer Fraud Fund



$29.6M in fines, restitution; $16,195,999 disgorgement, $6,989,324
restitution

$600,000,000 in separate civil action



None



($100M in SEC settlement; $445M class settlement); $3M to U.S. Postal
Service



$1 million

None
$18,132,000 forfeiture; $2,565,317.51 in fines for FSLA violations




$2.5 million




$36,944,043.00 plus interest to U.S. and Medicaid Participating States


$800,000 fine
$100 million total penalty, and additional $10 million may be assessed, or
more, and determination of fine may be appealed to “a retired federal judge
selected by the United States sitting as an independent Special Master.”


$7 million




                                                                   $214,500.00



$17,262,078 ($12,262,078 in forfeited profits and $5 million in fines)



$2 million


None
$900,000 civil assessment; $110,000 to  Mass. State Ethics Commission

                                                                      $3,360,000


$456M total, of which $228M consists of fines



$30 million fine; $806,431 restitution


$4.28M restitution; $4.43M administrative payment; $300,000
reimbursement; $3M civil penalty




$175 million forfeiture (additional $175 million forfeiture to D.A. of County of
New York under separate agreement)




$1 million
$30.5 million
$750M restitution (SEC agreement)




$30,000 in costs, $18.1M in restitution to taxpayers, U.S.

$80M (SEC agreement)
$3.8M restitution; $4.91M administrative payment; $3M civil penalty;
$300,000 reimbursement
$450,000 fine


$75M, plus interest


$11 million fine
$1M fine


$2.1M fine




None
$136 million civil forfeiture, distribution of $94 million to U.S. customers


$850,000 restitution



$1.2 million




$15 million (jointly and severally) in settlement of civil forfeiture action



$3M fine

$2.59M fine



$9 million


$500,000 civil forfeiture




$19,182,418.18 forfeiture

                                                                    $6,143,407 fine



$832,962.90 plus interest


                                                                      $70,560,000


$1 million
$490,612 restitution


$105 million forfeiture




None


None

Pursuant to DPA and guilty plea of Pharmacia, supra
$15 million in addition to criminal fine pursuant to guilty plea of $19,680,000
$4.5 million


$90M restitution fund; $25M fine


Fine and restitution paid pursuant to guilty plea of subsidiary
$270,000,000 in SEC settlement to Fair Fund; additional $5,000,000 penalty
to Commonwealth of Massachusetts 
$330M settlement with SEC
Pursuant to guilty plea: $500,000 fine; $3,087,277.60 to federal and state
Medicaid, $20 million to Virginia  Prescription Monitoring Program trust
account; $5,300,000 to Virginia  Medicaid Fraud Control Unit’s Program
Income Fund; $276,100.000 forfeiture; $160 million civil settlement; 
$40 million + $262 million civil settlement to resolve False Claims Act
allegation + $6.2 million to Medicare to resolve other civil claims

                                                                    $1,700,000

$36 million


$1 million to US; $2 million to City of Houston




None
$1.1B




$159,502,000 combined federal settlement

                                                          $20,000,000 restitution


$7.5M to be paid by its subsidiary SSI Korea

$62. 6M fine


                         $136,936,000 paid pursuant to parallel plea agreement


                                                         $30,000,000 foreign fine


                                                                      $2,500,000

$15 million forfeiture, $12 of which to satisfy civil fine by Financial Crimes
Enforcement Network

                                                                    $12,600,000

None


$240,000,000


None


$33 million forfeiture

$10.5M (separate $10.5M disgorgement to SEC)

None




$139M to compensation fund; $3M to U.S. Postal Service
                                                                     $240,000,000

$1.15 million

                                                                        $7,350,000




None -- requires filing of amended tax returns.




                                                                      $13,440,000

                                                                           $65,000

                                                                        $4,000,000


$380 million disgorgement of profits; $400 million federal backup withholding
tax, interest penalties and restitution



$21.6 million


$5,334,331 forfeiture

                                                                        $4,400,000

Full restitution in amount determined by Monitor, $4.9M to Medicaid




$1.5 million



None


$50M fine, $110,000,000 forfeiture


$80 million plus interest ($40 million restitution + $40 million civil forfeiture)
$18M fine, $1.6M in costs

                                                             $300,000.00


$350,000 fine, $13.3M restitution

$32.3 million in fines and disgorgement and $7.25 interest
$50M fine.




$10 million




None
                              Can DOJ Unilaterally Terminate
                Length
                                      Agreement?


3 years                  Yes




3 years                  Yes




27 months                Yes
2 years.                 Yes.

15 months.               Yes.
None listed              Yes.




3 years + one week       Yes




3 years                  Yes

3 years                  No
2 years                  Yes
2 years                  Yes


3 years + one week       Yes




3 years                  No



1 year                   Yes
2 years (1 year if compliant)             Yes.




3 years                                   Yes




2 years                                   Yes


1 year                                    Yes.


2 years.                                  Yes.


3 years                                    Yes
Until full fine payment made (if payment
scheduled followed, full payment would be
                                           No
effectuated, at latest, one year + 10 days
from date of execution of ag'mt)
Gov't conclude investigation in 90 days    Yes.
None listed                               Yes.



2 years                                   Yes


12 months.                                Yes.

3 years (can be terminated earlier)       Yes.


1 year                                    Yes.


2 years                                   Yes


None                                      N/A.

3 years                                   Yes
                                          No, DOJ must initiate proceedings in the
18 months.                                district court to determine whether a
                                          breach occurred
5 years                                   Yes


18 months                                 Yes



3.5 months                                No



2 years                                   Yes


2 years                                   Yes

                                          No: but “conduct by a Boeing employee
                                          classified at a level below Executive
                                          Management . . . shall not be deemed to
                                          constitute conduct by Boeing” and
2 years.
                                          “USAO's shall provide Boeing with
                                          written notice” of belief a breach
                                          occurred. Special Master will adjudicate
                                          any breach.

2 years.                                  Yes.




3 years                                   Yes




3 years.                                  Yes.
1 year (or ends whenever all 4 payments
                                          Yes
are made)
2 years                                   Yes



3 years                                   Yes




3 years                                   Yes


2 years                                   Yes
2 years            Yes



18 months.         Yes.




2 years            Yes




2 years            Yes


                   Yes, but Company may appeal within
3 years
                   higher branch of DOJ

2 years + 1 week   Yes


2 years + 1 week   Yes


18 months          Yes

2 years            Yes




5 years            Yes



2 years.           No
2 years             Yes

1 year              Yes



4 months            Yes



2 year              Yes




18 months.          Yes




12 months           Yes

3 years             Yes




2 years             Yes


                    Seemingly (no "sole discretion"
6 months
                    language, however)


3 years             Yes



12 months.          Yes.


2 years, 9 months   Yes
            3 years.                                   Yes




t of $88,000,000 to federal government and $60,000,000 to states


            3 years from date of execution of
            agreement, or final approval of bankruptcy Yes.
            reorganization plan, whichever is later


            2 years


            1 year                                     Yes




            3 years                                    Yes




            18 months.

            None specified                             Unclear


                                                       Seemingly (no "sole discretion"
            2 years
                                                       language, however)



            30 months.                                 Yes.



                                                       Seemingly (no "sole discretion"
            2 years
                                                       language, however)

            Unclear                                    Yes
None specified (various time limits apply
for implementation of compliance and        Yes
remedial measures)




3 years                                     Yes




2 years.                                    No.


2 years.                                    Yes.


3 years                                     Yes



3 years                                     Yes



                                            Yes, upon written notice, and with 14
24 months.
                                            day cure period.


Not stated                                  Yes


                                            No, Federal District Court for the Central
3 years                                     District of California must find that
                                            breach occurred
Not stated                                  Yes
None listed                                 Yes.

6 months                                    Yes

14 months (can be extended at one year
intervals; max. 5 yrs); monitorship lasts   Yes.
three years


3 years                                     Yes


None listed                                 Yes.




2 years                                     Yes




2 years                                     Yes
2 years                                     Yes
2 years.                                    Yes.




3 years.

21 months.                                  Yes.

None listed                                 No

3 years.                                    Yes (for 24 months)

later of: 24 months, or date upon which all Yes, subject to 14 day cure and 30 day
payment obligations satisfied               "appeal" within DOJ

15 months                                   Yes
3 years.                                         Yes.

                                                 Yes (provides for notice and two week
3 years.                                         opportunity to demonstrate no breach or
                                                 cure)


Unclear                                          Yes
2 years                                          Yes

None explicitly stated - restitution payment
                                             Yes
schedule spans 3 years, 9 months


3 years (5 year term on separate
                                                 Yes
agreement with HHS)



15 months                                        Yes



18 months.                                       Yes.

Not explicitly stated - must deliver
                                                 Not stated
progress reports for three years


3 years                                          Yes


Until criminal investigations and
                                                 Yes
prosecutors are final

2 years.                                         Yes.

3 years or until all criminal trials are final
                                                 Not stated
(whichever is later)
                                                 Yes


2 years                                          Yes


3 years + 1 week                                 Yes


18 months                                        Yes
3 years                                     Yes


None specified - restitution payment
                                            No
schedule extends for 3.5 years


Not specified                               Not stated


Not specified                               Yes


                                            Seemingly, but does not use "sole
2 years
                                            discretion" language

3 years                                     Yes
3 years                                     Yes
5 years                                     No


                                            Yes, upon written notice with two week
1 year
                                            opportunity to demonstrate no breach


2 years                                     Not stated

60 months                                   Yes

3 years.                                    Yes.


6 years                                     Yes



Unknown                                     Unknown


3 years                                     Unknown

2 years                                     Yes


                                            Seemingly (no "sole discretion"
18 months
                                            language, however)



2 years; may be extended up to a total of
                                            Yes.
5 years if there are violations
later of: 2 years, or date upon which all
prosecutions based on identified conduct    No.
final




Until payment is made                       Unknown

3 years                                     Yes


3 years.                                    Yes.

18 months.                                  Yes.


5 years                                     No

3 years + 7 days                            Yes

2 years (but can extend for up to two more
                                           Yes
years if investigation is not finished)

1 year                                      Yes, within 6 months of material breach

36 months                                   Yes

18 months                                   Yes


2 years                                     Yes, if breach


24 months.                                  Yes


Not stated                                  Unknown

3 years.                                    Yes.

18 months                                   Yes




3 years.                                    Yes.
2 years + 1 week                            Yes, if breach

Not stated                                  Yes

3 years + 1 week                            Yes



3 years.                                    No.




3 years + 1 week                            Yes

2 years                                     Yes, if breach

2 years                                     Yes



18 months, 30 days                          Yes



1 year                                      Yes


2 years                                     Yes

3 years + 1 week                            Yes

2 years (can be extended 1 year)            Yes.




                                            Seemingly (no "sole discretion"
3 years
                                            language, however)



3  years                                    Yes


12 months                                   Yes, if breach

3 years (with allowance for a reduction to 2
                                             Yes
years)
1 year       Yes.
             Seemingly (no "sole discretion"
3 years.
             language, however)

3 years.     Yes.

3 years
15 months.   Yes.
12 months    Yes, if breach




3 years      Yes




18 months    Yes

				
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