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Government Enforcement Actions

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January 10, 2024

German software company SAP SE (SAP) has agreed to pay over $220 million and enter into a three-year deferred prosecution agreement with the DOJ to resolve allegations of violating the Foreign Corrupt Practices Act (FCPA) by paying bribes to government officials in Azerbaijan, Ghana, Indonesia, Kenya, Malawi, South Africa, and Tanzania from at least 2014 to 2022.  The company allegedly paid third parties to pay the bribes, then recorded the bribes as legitimate business expenses in its books and records.  To resolve parallel investigations with other authorities, SAP has agreed to pay almost $100 million to the SEC, which will be offset by a $59 million payment already made to the South African government.  DOJ; SEC

Tagged in: Bribery and Bid-Rigging, FCPA,

January 8, 2024

Invitation Homes, which owns and manages about 12,000 rental homes across California, has agreed to pay $2.04 million in civil penalties to resolve allegations of violating the state’s price gouging law and Tenant Protection Act (TPA).  California’s price gouging law prohibits landlords from increasing rent by more than 10% in the aftermath of a state of emergency, while the TPA prohibits increasing rent by more than 5% plus the percentage change in the annual cost of living.  Yet between 2019 and 2022, that is exactly what the company did.  In addition to paying civil penalties, Invitation Homes is required to restore lawful rental rates to California tenants and ensure compliance with all state and local laws.  CA AG

Tagged in: Housing and Mortgage Fraud,

January 5, 2024

A Florida man, Karel Felipe, and Florida woman, Tamara Quicutis, have been sentenced to 8 years and 5 years respectively for their roles in a $93 million fraud scheme against Medicare.  Felipe and Quicutis were found guilty last October of submitting claims on behalf of three Michigan-based home health companies, for services never rendered, using stolen patient information, and then laundering the proceeds through dozens of shell companies and hundreds of bank accounts.  Their fellow co-conspirators—Jesus Trujillo, Didier Arcia, Alexey Gil, and Jeffrey Avila—have already been sentenced for their roles.  DOJ

Tagged in: FCA Federal, Healthcare Fraud, Home Health and Hospice, Medicare, Money Laundering,

January 4, 2024

ChristianaCare has paid $42.5 million for violations of the federal False Claims Act and the Delaware False Claims and Reporting Act. In a qui tam whistleblower complaint filed in 2017, ChristianaCare's former chief compliance officer alleged illegal remuneration was provided to non-employee neonatologists and surgeons in the form of free or below fair market services by ancillary support providers, such as nurse practitioners, hospitalists, and physician assistants. These services were meant to induce referrals from the non-employees, creating a financial relationship. USAO DE

Tagged in: Anti-Kickback and Stark, FCA Federal, FCA State, Healthcare Fraud, Provider Fraud, Whistleblower Case,

January 4, 2024

Florida-based H. Lee Moffitt Cancer Center & Research Institute Hospital Inc. (Moffitt) has agreed to pay over $19.5 million to resolve allegations of violating federal and state False Claims Acts over a 6-year period.  A majority of the settlement proceeds, $18.2 million, will go to the federal government, while $1.3 million will go to the State of Florida.  The hospital allegedly billed the government for items and services that should have been billed to non-government sponsors.  DOJ

Tagged in: FCA Federal, FCA State, Healthcare Fraud, Medicaid, Medicare, Provider Fraud,

December 26, 2023

A temporary restraining order was issued on December 21 against ArciTerra Companies LLC and its CEO Jonathan M. Larmore, along with Cole Capital Funds LLC, an entity formed by Larmore. Larmore and other charged entities misappropriated more than $35 million from private real estate funds and other investment vehicles to fund his family's lavish lifestyle. In another scheme, Larmore issued a press release from Cole Capital Funds, announcing they were buying 51% of WeWork's minority ownership shares at nine times the current trading price. Not disclosed was that Larmore had purchased more than 72,000 call options in the days prior to the press release. Larmore's intent was to earn a windfall on the options; instead, the press release was delayed so most of the call options expired before he could exercise them. SEC

Tagged in: Financial and Investment Fraud, Market Manipulation and Trading Violations, Misrepresentations, Regulatory Violations, Securities Fraud,

December 22, 2023

Christiana Care Health System has agreed to pay over $7.6 million to the State of Delaware for violating the federal and state False Claims Acts, and Delaware’s Patient Brokering and Anti-Kickback laws.  According to a qui tam whistleblower, who filed a case in 2017, the healthcare system provided free or below-market rate support services to doctors in exchange for referrals of Medicaid patients, then submitted false claims stemming from those referrals to Delaware’s Medicaid program.  DE AG

Tagged in: Anti-Kickback and Stark, FCA Federal, FCA State, Healthcare Fraud, Medicaid, Provider Fraud, Whistleblower Case,

December 22, 2023

Seven whistleblowers will receive over $28 million combined for providing information that significantly contributed to an SEC investigation. The group, comprised of a single claimant and two sets of joint claimants, provided significant and detailed information at crucial points in the investigation, saving the SEC staff considerable time and resources. SEC

Tagged in: SEC Whistleblower Reward Program, Whistleblower Rewards,

December 22, 2023

Brooge Energy Limited, former CEO Nicolaas Lammert Paardenkooper, and former Chief Strategy Officer and interim CEO Lina Saheb settled SEC fraud charges for misstating Brooge's revenues from 2018 to 2021 connected to a $500 million securities sale. Brooge fabricated invoices to support the inflated revenues and provided them to auditors to hide the fraud. Brooge will pay a $5 million penalty for violating the antifraud, proxy statement, reporting, and books and records provisions of the federal securities laws. Paardenkooper and Saheb will each pay $100,000 and are subject to permanent officer and director bars. SEC

Tagged in: Accounting Fraud, Misrepresentations, Securities Fraud,

December 22, 2023

Cummins Inc. has agreed in principle to pay $1.675 billion—the largest ever Clear Air Act violation penalty—for installing defeat devices or undisclosed auxiliary emissions control devices on 960,000 RAM engines from 2014 through 2023. Defeat devices enable users to bypass, defeat, or render inoperative the onboard emissions controls required by the Clean Air Act, producing thousand of tons of excess omissions of nitrogen oxides, to which exposure over time can cause respiratory issues. DOJ

Tagged in: Environmental Fraud,

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