Deferred Prosecution Agreement Sample Contracts

Re: U.S. Bancorp Deferred Prosecution Agreement (February 15th, 2018)

independently validated to ensure that the models are detecting potentially suspicious activity. The bank must assign adequate staff to the identification, evaluation, and reporting of potentially suspicious activities, taking into account the banks overall risk profile and the volume of transactions.

QLT Inc. – Deferred Prosecution Agreement (September 22nd, 2017)
Deferred Prosecution Agreement (January 20th, 2017)

Defendant THE WESTERN UNION COMPANY (Western Union or the Company), by its undersigned representatives, pursuant to authority granted by the Companys Board of Directors, and the United States Department of Justice, Criminal Division, Money Laundering and Asset Recovery Section, the United States Attorneys Offices for the Middle District of Pennsylvania, the Central District of California, the Eastern District of Pennsylvania, and the Southern District of Florida (collectively, the Offices), enter into this Deferred Prosecution Agreement (the Agreement), the terms and conditions of which are as follows:

Deferred Prosecution Agreement (January 18th, 2017)

Defendant Zimmer Biomet Holdings, Inc. and its subsidiaries (Zimmer Biomet or the Company), pursuant to authority granted by the Companys Board of Directors, and the United States Department of Justice, Criminal Division, Fraud Section (the Fraud Section), enter into this deferred prosecution agreement (the Agreement).

DEFERRED PROSECUTION AGREEMENT Cr. No. 16-516 (NGG) (November 2nd, 2016)

Defendant Och-Ziff Capital Management Group LLC (Och-Ziff or the Company), pursuant to authority granted by the Companys Board of Directors, and the United States Department of Justice, Criminal Division, Fraud Section, and the United States Attorneys Office for the Eastern District of New York (collectively, the Offices), enter into this deferred prosecution agreement (the Agreement).

United States of America Securities and Exchange Commission Deferred Prosecution Agreement (June 25th, 2014)
ArthroCare Corporation – Deferred Prosecution Agreement (January 7th, 2014)

Defendant ArthroCare Corporation (the Company), by its undersigned representatives, pursuant to authority granted by the Companys Board of Directors, and the United States Department of Justice, Criminal Division, Fraud Section (the Department), enter into this deferred prosecution agreement (the Agreement), the terms and conditions of which are as follows:

Re: JPMorgan Chase Bank, N.A. Deferred Prosecution Agreement (January 7th, 2014)

The following Statement of Facts is incorporated by reference as part of the Deferred Prosecution Agreement (the Agreement) between the United States Attorneys Office for the Southern District of New York (USAO) and JPMorgan Chase Bank, N.A., a subsidiary of JPMorgan Chase & Co. As used herein, and unless otherwise specified, JPMC refers collectively to JPMorgan Chase & Co., its subsidiaries, and their predecessors in interest. The parties agree and stipulate that the following information is true and accurate:

ArthroCare Corporation – ArthroCare Announces Entry Into a Deferred Prosecution Agreement (January 7th, 2014)

ArthroCare Corp. (NASDAQ: ARTC), a leader in developing state-of-the-art, minimally invasive surgical products, and the U.S. Department of Justice (DOJ), entered into a Deferred Prosecution Agreement (DPA) filed today with the United States District Court in the Western District of Texas (the Court). The DPA will resolve the ongoing investigation by the DOJ regarding allegations of securities and related fraud committed under a previous management team. The investigation was first announced in December 2008. The facts underlying this agreement relate specifically to matters self-disclosed by ArthroCare to the U.S. Securities and Exchange Commission (SEC) and the DOJ, as previously described by ArthroCare in its public press releases and SEC filings.

ING Group – Deferred Prosecution Agreement (March 22nd, 2013)

ING Bank, N.V. (ING Bank) is a financial institution registered and organized under the laws of the Netherlands. ING Bank, by and through its attorneys, Sullivan & Cromwell LLP, and the District Attorney of the County of New York (DANY) enter into this Deferred Prosecution Agreement (the Agreement). ING Bank agrees to enter into a separate Deferred Prosecution Agreement with the United States Department of Justice (DOJ).

Deferred Prosecution Agreement (December 12th, 2012)

Defendant HSBC Bank USA, N.A., a federally chartered banking institution and subsidiary of HSBC North America Holdings, Inc., and defendant HSBC Holdings plc, a financial institution holding company organized under the laws of England and Wales (collectively, the HSBC Parties), by their undersigned representatives, pursuant to authority granted by the HSBC Parties Boards of Directors, and the United States Department of Justice, Criminal Division, Asset Forfeiture and Money Laundering Section, the United States Attorneys Office for the Eastern District of New York, and the United States Attorneys Office for the Northern District of West Virginia (collectively, the Department), enter into this deferred prosecution agreement (the Agreement). The terms and conditions of this Agreement are as follows:

Orthofix International N.V. – Deferred Prosecution Agreement (July 10th, 2012)

Defendant Orthofix International, N.V. (Orthofix), by its undersigned attorneys, pursuant to authority granted by Orthofixs Board of Directors, and the United States Department of Justice, Criminal Division, Fraud Section (the Department), enter into this deferred prosecution agreement (the Agreement). The terms and conditions of this Agreement are as follows:

March 26, 2012 (March 28th, 2012)
Re: Science Applications International Corporation Deferred Prosecution Agreement (March 14th, 2012)

The CityTime Project (CityTime, or the Project) was an initiative by the City of New York (the City) to modernize its timekeeping and payroll systems across all City agencies. In 2000, SAIC became the lead contractor on CityTime, which at the time had a contract value of approximately $73 million. In 2003, SAIC appointed Gerard Denault, who had been hired by SAIC in 2002, to serve as Program Manager of the Project, and Carl Bell to serve as Chief Systems Engineer. Shortly thereafter, SAIC, at the behest of Denault, hired Technodyne LLC (Technodyne) as a single source subcontractor to provide staffing for the Project. In United States v. Mark Mazer et al., S2 11 Cr. 121 (S.D.N.Y.), it is alleged that Denault and Bell conspired with others to defraud the City and personally received millions of dollars in kickbacks from Technodyne in exchange for steering business on the CityTime project to Technodyne, and Technodyne in turn served as a vehicle for the payment of tens of millions of doll

Addendum to the Deferred Prosecution Agreement (December 7th, 2011)
Wright Medical Group, Inc. – Addendum and Amendment to the Deferred Prosecution Agreement (September 15th, 2011)
Deferred Prosecution Agreement (December 8th, 2010)
Deferred Prosecution Agreement (November 5th, 2010)

The United States Department of Justice, Criminal Division, Fraud Section (the Department), Defendant Transocean Inc., (Transocean), a Cayman Islands corporation, and Transocean Ltd., a corporation incorporated and headquartered in Switzerland, on behalf of its wholly owned subsidiary Transocean, by and through their undersigned attorneys, enter into this Deferred Prosecution Agreement (the Agreement). The terms and conditions of this Agreement are as follows:

Wright Medical Group, Inc. – Deferred Prosecution Agreement (September 30th, 2010)
Deferred Prosecution Agreement (March 15th, 2010)

The United States Department of Justice Tax Division and the United States Attorneys Office for the Southern District of Florida (the Government) and the defendant UBS AG (UBS), by its Group General Counsel and undersigned attorneys, pursuant to the authority granted to them by its Board of Directors in the form of a Board Resolution, attached hereto as Exhibit A, hereby enter into this Deferred Prosecution Agreement (the Agreement).

Amendment No. 1 to Deferred Prosecution Agreement (August 3rd, 2009)

Defendant LAWSON PRODUCTS, INC. (LAWSON PRODUCTS), a company headquartered in Des Plaines, Illinois, by its undersigned attorneys, pursuant to authority granted by its Board of Directors, and the UNITED STATES OF AMERICA, through PATRICK J. FITZGERALD, United States Attorney for the Northern District of Illinois, enter into this Amendment No. 1 dated July 31, 2009 to Deferred Prosecution Agreement (this Amendment), which shall apply to LAWSON PRODUCTS and all its affiliates and subsidiaries, including Drummond American Corporation and Cronatron Welding Systems, Inc. and which amends the Deferred Prosecution Agreement (the Agreement) dated as of August 11, 2008.

Information [FILED STAMP] UNITED STATES DISTRICT COURT MIDDLE DISTRICT OF FLORIDA TAMPA DIVISION CASE NO. 8:09-Cr-00203-T.27eas UNITED STATES OF AMERICA v. WELLCARE HEALTH PLANS, INC. DEFERRED PROSECUTION AGREEMENT BETWEEN THE UNITED STATES ATTORNEYS OFFICE FOR THE MIDDLE DISTRICT OF FLORIDA, THE FLORIDA ATTORNEY GENERALS OFFICE, AND WELLCARE HEALTH PLANS, INC., AND ITS AFFILIATES AND SUBSIDIARIES 1. Parties and Effective Date: WellCare Health Plans, Inc., and Its Affiliates and Subsidiaries, Including but Not Limited To, Harmony Behavioral Health, Inc., Healthease of Florida, Inc., WellCare O (May 5th, 2009)
Deferred Prosecution Agreement (August 11th, 2008)

Defendant LAWSON PRODUCTS, INC. (LAWSON PRODUCTS), a company headquartered in Des Plaines, Illinois, by its undersigned attorneys, pursuant to authority granted by its Board of Directors, and the UNITED STATES OF AMERICA, through PATRICK J. FITZGERALD, United States Attorney for the Northern District of Illinois, enter into this Deferred Prosecution Agreement (the Agreement), which shall apply to LAWSON PRODUCTS and all its affiliates and subsidiaries, including Drummond American Corporation and Cronatron Welding Systems, Inc. The terms and conditions of this agreement are as follows:

Thoramet, Inc. – Deferred Prosecution Agreement (May 6th, 2008)
Deferred Prosecution Agreement (October 2nd, 2007)
Deferred Prosecution Agreement (October 19th, 2006)
BankAtlantic Bancorp, Inc. – Deferred Prosecution Agreement (April 28th, 2006)

Defendant BANKATLANTIC, a subsidiary of BankAtlantic Bancorp, Inc., a Florida Corporation, by and through its attorneys, Stearns Weaver Miller Weissler Alhadeff & Sitterson, P.A., pursuant to authority granted by its Board of Directors, and the United States Department of Justice, Criminal Division (hereinafter, the United States), enter into this Deferred Prosecution Agreement (the Agreement).

Deferred Prosecution Agreement Between the United States of America and FirstEnergy Nuclear Operating Company (January 20th, 2006)

The United States Attorney's Office for the Northern District of Ohio and the Environmental Crimes Section of the Environment and Natural Resources Division of the Department of Justice (collectively the "Department"), on behalf of the United States of America, and the FirstEnergy Nuclear Operating Company ("FENOC"), pursuant to authority granted by its Board of Directors in the form of a Board Resolution (Attachment A), hereby enter into this Deferred Prosecution Agreement (the "Agreement"). The United States acknowledges FENOC's extensive corrective actions at Davis-Besse Nuclear Power Station ("Davis-Besse"), FENOC's cooperation during investigations by the Department and the U.S. Nuclear Regulatory Commission ("NRC"), FENOC's pledge of continued cooperation, FENOC's acknowledgement of responsibility for the behavior of its employees, and its agreement to pay a monetary penalty.

Deferred Prosecution Agreement (June 16th, 2005)
Amsouth Bancorporation – Deferred Prosecution Agreement (October 12th, 2004)

Defendants AMSOUTH BANCORPORATION and AMSOUTH BANK, a wholly-owned subsidiary of AMSOUTH BANCORPORATION (hereinafter collectively referred to as AmSouth), by their undersigned attorney, pursuant to authority granted by their Boards of Directors, and the United States enter into this Deferred Prosecution Agreement (hereinafter the Agreement).

Deferred Prosecution Agreement Certificate of Corporate Resolution Information Stipulation of Facts (September 22nd, 2004)

The defendant COMPUTER ASSOCIATES INTERNATIONAL, INC. (CA), by its undersigned attorneys, pursuant to authority granted by its Board of Directors in the form of a Board Resolution (a copy of which is attached hereto as Exhibit A), and the United States Attorneys Office for the Eastern District of New York (the Office), hereby enter into this Deferred Prosecution Agreement (the Agreement). Except as specifically provided below, and in accordance with the provisions specified in paragraphs 22 and 24 below, this Agreement shall be in effect for a period of 18 months.