Current on Bloomberg Law as of July 31, 2015 15:32:13 U.S. District Court District of Columbia (Washington, DC) CRIMINAL DOCKET FOR CASE #: 1:08-cr-00367-RJL All Defendants Date Filed: Dec 12, 2008 Status: CAT A, CLOSED Assigned to: Judge Richard J. Leon USA v. SIEMENS AKTIENGESELLSCHAFT Defendant (1) SIEMENS AKTIENGESELLSCHAFT Parties and Attorneys Attorneys and Firms Margaret Miles Ayres DAVIS, POLK & WARDWELL LLP 901 15th Street, NW 12th Floor Washington, DC 20005 (202) 962-7142 Fax: (202) 962-7078 Designation: Retained Robert Fiske Raul F. Yanes DAVIS POLK & WARDWELL DAVIS, POLK & WARDWELL 450 Lexington Avenue 901 15th Street, NW Suite 1200 New York Washington, NY DC 10017 20005 (212) 530-4090 (202) 962-7122 raul.yanes@davispolk.com Designation: Retained Robert Fiske DAVIS POLK & WARDWELL 450 Lexington Avenue New York, NY 10017 (212) 530-4090 // PAGE 1
Plaintiff USA Charges Designation: Retained Attorneys and Firms Joey Lipton U.S. DEPARTMENT OF JUSTICE 1400 New York Avenue, NW 3rd Floor Washington, DC 20010 (202) 514-0839 joseph.lipton@usdoj.gov Criminal Division, Fraud Section Criminal Division, Fraud Section Designation: Assistant U.S. Attorney John D. Griffith U.S. ATTORNEY'S OFFICE 555 Fourth Street, NW Room 5825 Washington, DC 20530 (202) 252-7947 Fax: (202) 307-2304 john.griffith3@usdoj.gov Fraud and Public Corruption Section Fraud and Public Corruption Section Designation: Assistant U.S. Attorney Mark F. Mendelsohn U.S. DEPARTMENT OF JUSTICE PAUL, WEISS, RIFKIND, WHARTON & GARRISON LLP 1301 New York Avenue, NW Suite 600 2001 K Street, NW Fifth Floor Washington, DC 20005 20006 (202) 307-6389 (202) 223-7377 Designation: Assistant U.S. Attorney ID Party Name Status Description 1 SIEMENS AKTIENGESELLSCHAFT Pending 15:78m(b)2((A), 78m(b)(5), and 78ff(a)PERIODICAL AND OTHER REPORTS; Foreigh Corrupt Practices Act - Internal Controls and Books and Records Provisions. (1) Disposition // PAGE 2
Description Defendant sentenced to Five (5) Years Probation. A fine in the amount of $488,500,000.00 imposed. Special Assessment of $400.00 on each count for a total of $800.00 imposed. Defendant sentenced to Five (5) Years Probation. A fine in the amount of $488,500,000.00 imposed. Special Assessment of $400.00 on each count for a total of $800.00 imposed. 1 SIEMENS AKTIENGESELLSCHAFT Pending 15:78m(b)(2)(A), 78m(b)(5), and 78ff(a); PERIODICAL AND OTHER REPORTS; Foreign Corrupt Practices Act-Internal Controls and Books and Record Provisions. (2s) Disposition Description Defendant sentenced to Five (5) Years Probation. A fine in the amount of $488,500,000.00 imposed. Special Assessment of $400.00 on each count for a total of $800.00 imposed. Docket Entries Reverse Entries Numbers shown are court assigned numbers. Entry # Filing Date Action Description 1 Dec 12, 2008 View INFORMATION as to SIEMENS AKTIENGESELLSCHAFT (1) count(s) 1. (erd) (Entered: 12/12/2008) 2 Dec 12, 2008 View JOINT STATEMENT regarding related case filings by SIEMENS AKTIENGESELLSCHAFT, USA as to SIEMENS AKTIENGESELLSCHAFT. (erd) (Entered: 12/12/2008) 3 Dec 12, 2008 View SENTENCING MEMORANDUM by USA as to SIEMENS AKTIENGESELLSCHAFT. (erd) (Entered: 12/12/2008) Dec 12, 2008 Set/Reset Hearings as to SIEMENS AKTIENGESELLSCHAFT. Plea Agreement Hearing AND Sentencing set for 12/15/2008 at 09:30 AM in Courtroom 18 before Judge Richard J. Leon. (kc) (Entered: 12/12/2008) 4 Dec 12, 2008 Request NOTICE OF ATTORNEY APPEARANCE: Margaret Miles Ayres appearing for SIEMENS AKTIENGESELLSCHAFT (hsj, ) (Entered: 12/12/2008) 5 Dec 12, 2008 Request NOTICE OF ATTORNEY APPEARANCE: Robert Fiske appearing for SIEMENS AKTIENGESELLSCHAFT. (hsj, ) (Entered: 12/12/2008) 6 Dec 12, 2008 Request NOTICE OF ATTORNEY APPEARANCE: Scott William Muller appearing for SIEMENS AKTIENGESELLSCHAFT. (hsj, ) (Entered: 12/12/2008) 7 Dec 12, 2008 Request CERTIFICATE Requirement by Local Rule 44.6 of the Local Rules of the United States District Court and Disclosure Statement Required by Rule 12.4 of the Federal Rules of Criminal Procedure by SIEMENS AKTIENGESELLSCHAFT. (hsj, ) (Entered: 12/12/2008) // PAGE 3
8 Dec 12, 2008 Request MOTION for Leave to Appear Pro Hac Vice:Attorney Name- Robert B. Fiske, Jr. :Address- Davis Polk & Wardwell, 450 Lexington Avenue, New York, NY 10017. Phone No. - 212-450-4000 by SIEMENS AKTIENGESELLSCHAFT. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(tnr, ) (Entered: 12/12/2008) 9 Dec 12, 2008 View MEMORANDUM on behalf of SIEMENS AKTIENGESELLSCHAFT, SIEMENS S.A. (ARGENTINA), SIEMENS BANGLADESH, LTD. and SIEMENS S.A. (VENEZUELA) In Support of Rule 11(c)(1)(C) Pleas and Agreed-Upon Sentences by SIEMENS AKTIENGESELLSCHAFT. (hsj, ) (Entered: 12/12/2008) 10 Dec 12, 2008 Request NOTICE OF ATTORNEY APPEARANCE: Margaret Miles Ayres appearing for SIEMENS AKTIENGESELLSCHAFT as retained counsel. (tnr, ) (Entered: 12/12/2008) 11 Dec 12, 2008 Request MOTION for Leave to Appear Pro Hac Vice: Attorney Name- Scott W. Muller, Address-Davis Polk & Wardwell, 450 Lexington Avenue, New York, NY. Phone No. - (212) 450-4000. by SIEMENS AKTIENGESELLSCHAFT. (Attachments: # 1 Exhibit A Declaration of Scott W. Muller, # 2 Exhibit B Order Granting Motion for Admission Pro Hac Vice of Scott W. Muller)(hsj, ) (Entered: 12/12/2008) Dec 12, 2008 Counts added: SIEMENS AKTIENGESELLSCHAFT (1) count(s) 2. (hsj, ) (Entered: 12/23/2008) Dec 15, 2008 MINUTE ORDER granting Motion 8 for Robert B. Fiske, Jr Leave to Appear Pro Hac Vice as to SIEMENS AKTIENGESELLSCHAFT (1); granting 11 Motion for Scott W. Muller Leave to Appear Pro Hac Vice as to SIEMENS AKTIENGESELLSCHAFT (1) (kc, ) (Entered: 12/15/2008) Dec 15, 2008 Minute Entry for proceedings held before Judge Richard J. Leon: Arraignment as to SIEMENS AKTIENGESELLSCHAFT (1) Count 1, 2 held on 12/15/2008. Plea guilty entered by SIEMENS AKTIENGESELLSCHAFT (1) on Count(s) 1, 2. Probation Report deferred. (Bond Status of Defendant: Corporation) (Court Reporter: Catalina Kerr) (Defense Attorney: Scott Muller and Robert Fiske; US Attorney: John Griffith and Lori Weinstein; Prob Officer: Michael Penders) (hsj, ) (Entered: 12/23/2008) Dec 15, 2008 Minute Entry for proceedings held before Judge Richard J. Leon: Sentencing held on 12/15/2008 as to SIEMENS AKTIENGESELLSCHAFT (1). Count(s) 1, 2. Defendant sentenced to Five (5) Years Probation. A fine in the amount of $488,500,000.00 imposed. Special Assessment of $400.00 on both counts for a total of $800.00 imposed. Defendant to comply with the Compliance and Ethics program set forth in the attachment to the plea agreement. (Bond Status of Defendant: Corporation) (Court Reporter: Catalina Kerr) (Defense Attorney: Scott Muller and Robert Fiske; US Attorney: John Griffith and Lori Weinstein; Probation Officer: Michael Penders) (hsj, ) (Entered: 12/23/2008) 12 Dec 15, 2008 View WAIVER of Right to Trial by Jury as to SIEMENS AKTIENGESELLSCHAFT. Approved by Judge Richard J. Leon on 12/15/08. (hsj, ) (Entered: 12/29/2008) // PAGE 4
13 Dec 15, 2008 Request WAIVER OF INDICTMENT by SIEMENS AKTIENGESELLSCHAFT. Signed by Judge Richard J. Leon on 12/15/08. (hsj, ) (Entered: 12/29/2008) 14 Dec 15, 2008 View PLEA AGREEMENT as to SIEMENS AKTIENGESELLSCHAFT. (mlp) (Entered: 01/06/2009) 15 Dec 15, 2008 View STATEMENT OF OFFENSE by SIEMENS AKTIENGESELLSCHAFT and USA. (mlp) (Entered: 01/06/2009) 18 Dec 30, 2008 Request NOTICE (bail transferred to USDC in the amount of $448,500,800.00) by SIEMENS AKTIENGESELLSCHAFT. (hsj, ) (Entered: 01/13/2009) Jan 6, 2009 JUDGMENT as to SIEMENS AKTIENGESELLSCHAFT. Statement of Reasons Not Included. Signed by Judge Richard J. Leon on 12/30/08. (hsj, ) Modified on 1/9/2009 (hsj, ). (Entered: 01/09/2009) 16 Jan 6, 2009 Request STATEMENT OF REASONS as to SIEMENS AKTIENGESELLSCHAFT re Judgment Not for public disclosure per Judicial Conference Policy. Signed by Judge Richard J. Leon on 12/30/08. (hsj, ) (Entered: 01/09/2009) 17 Jan 6, 2009 View JUDGMENT as to SIEMENS AKTIENGESELLSCHAFT. Statement of Reasons Not Included. Signed by Judge Richard J. Leon on 12/30/08. (hsj, ) (Entered: 01/09/2009) 19 Feb 4, 2009 View TRANSCRIPT OF PROCEEDINGS in case as to SIEMENS AKTIENGESELLSCHAFT before Judge Richard J. Leon of proceedings held on 12/15/08; Page Numbers: 1-41. Date of Issuance:2/4/09. Court Reporter/Transcriber Catalina Kerr, Telephone number 202.354.3258, Court Reporter Email Address : catykerr@msn.com.for the first 90 days after this filing date, the transcript may be viewed at the courthouse at a public terminal or purchased from the court reporter referenced above. After 90 days, the transcript may be accessed via PACER. Other transcript formats, (multi-page, condensed, CD or ASCII) may be purchased from the court reporter.notice RE REDACTION OF TRANSCRIPTS: The parties have twenty-one days to file with the court and the court reporter any request to redact personal identifiers from this transcript. If no such requests are filed, the transcript will be made available to the public via PACER without redaction after 90 days. The policy, which includes the five personal identifiers specifically covered, is located on our website at ww.dcd.uscourts.gov. Redaction Request due 2/25/2009. Redacted Transcript Deadline set for 3/9/2009. Release of Transcript Restriction set for 5/5/2009.(Kerr, Catalina) (Entered: 02/04/2009) 20 Dec 18, 2012 Request MOTION pursuant to Rule 36 to Correct a Clerical Error in Judgment by USA as to SIEMENS AKTIENGESELLSCHAFT. (Lipton, Joey) (Entered: 12/18/2012) 21 Dec 18, 2012 Request NOTICE Regarding Corporate Monitorship by USA as to SIEMENS AKTIENGESELLSCHAFT (Lipton, Joey) (Entered: 12/18/2012) 22 Dec 18, 2012 Request Amended MOTION pursuant to Rule 36 to Correct a Clerical Error in Judgment by USA as to SIEMENS AKTIENGESELLSCHAFT. (Lipton, Joey) (Entered: 12/18/2012) 23 Dec 18, 2012 View NOTICE Regarding Corporate Monitorship (Amended) by USA as to // PAGE 5
SIEMENS AKTIENGESELLSCHAFT (Lipton, Joey) (Entered: 12/18/2012) 24 Feb 6, 2013 Request ORDER granting 22 Motion pursuant to Rule 36 to Correct Clerical Error as to SIEMENS AKTIENGESELLSCHAFT (1). Signed by Judge Richard J. Leon on 2/1/2013. (kc ) (Entered: 02/06/2013) 25 Oct 20, 2014 Request NOTICE OF ATTORNEY APPEARANCE: Raul F. Yanes appearing for SIEMENS AKTIENGESELLSCHAFT (Yanes, Raul) (Entered: 10/20/2014) 26 Oct 20, 2014 Request NOTICE OF RELATED CASE. Case related to Case No. 14cv1264. (Yanes, Raul) (Entered: 10/20/2014) 27 Oct 30, 2014 Request RESPONSE by SIEMENS AKTIENGESELLSCHAFT /Response to Objection to Notice of Related Case (Yanes, Raul) Modified on 10/31/2014 to Remove the Entered in Error from Docket Entry. (hsj, ). (Entered: 10/30/2014) Oct 31, 2014 ENTERED IN ERROR...NOTICE OF ERROR re 27 Response to document; emailed to raul.yanes@davispolk.com, cc'd 10 associated attorneys -- The PDF file you docketed contained errors: 1. Incorrect header/caption/case number, 2. Please refile document, 3. Docket entry 27 is the wrong document in the case (zhsj, ) Modified on 10/31/2014 (hsj, ). (Entered: 10/31/2014) // PAGE 6
General Information Court Federal Nature of Suit Docket Number Status United States District Court for the District of Columbia; United States District Court for the District of Columbia Criminal 1:08-cr-00367 Closed // PAGE 7