Settlements

ST-36
Allied Products Corporation / David Ray Rothrock
Allied Products Corporation
United States
Department of Justice
Russia
2001
06/22
Unknown
Individual
Criminal
Guilty Plea
None
$0.00
$0
$0
Art.16
Art. 1, Art. 8
Falsification of books and records
Falsification of books and records
Yes
According to the US Department of Justice Report to Congress, Appendix C "Summaries of Foreign Corrupt Practices Act Enforcement Actions by the United States, January 1, 1998 - September 30, 2010," Allied Products Corporation, at 120-121, accessed at www.justice.gov/criminal/fraud/fcpa/docs/response3-appx-c.pdf and Information in US v. David Ray Rothrock, Case No. 5:01-cr-00343-OLG (W.D. Tex., June 13, 2001): Rothrock was the vice president of the Cooper Division of Allied Products Corporation with responsibility for international sales. He pleaded guilty to one count of falsifying his employer's corporate books and records. The Cooper Division agreed to pay a sales commission of $282,076 to a third party company (Trading and Business Services Ltd., an entity with principal business in Moscow; Biel, Switzerland; and Houston and co-owned by "Nestro" and Comco Holding AG, a Swiss company) for ultimate benefit of the Director General of RVO Zarubezhneftstroy ("Nestro"), a Soviet government purchasing agency, in order to obtain a contract for the sale of 20 workover rigs to Nestro. Rothrock, in 2002, created false invoice that was purported to come from a company called "Educa" in Vienna, Austria but that he knew was for TBS. Rothrock pleaded guilty and on September 20, 2001, he was sentenced to one year probation and ordered to pay court assessment of $100. His presentencing report was sealed on September 24, 2001. (Sources: US v. Daniel Ray Rothrock, Case No. 5:01-cr-00343-OLG (W.D. Tex.), Information filed on June 13, 2001; Plea agreement filed June 13, 2011 and Judgment of September 20, 2001 and Court Docket Report, all accessed at Fcpa.Shearman.com, Case Summary Page, US v. David Ray Rothrock, http://fcpa.shearman.com/index.php.