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United States of America v. Bowman Plating Company

November 1, 2012

UNITED STATES OF AMERICA
v.
BOWMAN PLATING COMPANY, INC.



The opinion of the court was delivered by: Dale S. Fischer U. S. District Judge/Magistrate Judge

Social Security No. N o n e

(Last 4 digits)

JUDGMENT AND PROBATION/COMMITMENT ORDER

MONTH DAY YEAR

In the presence of the attorney for the government, the defendant appeared in person on this date. 10 29 12

Barry C. Groveman, Retained; Michael Wachtell, Retained

(Name of Counsel)

X GUILTY, and the court being satisfied that there is a factual basis for the plea.

NOLO CONTENDERE NOT GUILTY

There being a finding/verdict of GUILTY, defendant has been convicted as charged of the offense(s) of:

18 U.S.C. §1001: False Statements Within the Jurisdiction of a Government Agency - Counts 1, 2, and 3 of the Information The Court asked whether there was any reason why judgment should not be pronounced. Because no sufficient cause to the contrary was shown, or appeared to the Court, the Court adjudged the defendant guilty as charged and convicted and ordered that: Pursuant to the Sentencing Reform Act of 1984, it is the judgment of the Court that defendant, Bowman Plating Company, Inc., is placed on probation on Counts 1, 2, and 3 of the 3-Count Information for a term of three years. This term consists of three years on each of Counts 1, 2, and 3 of the Information, all such terms to run concurrently under the following terms and conditions:

The defendant shall comply with the rules and regulations of the U. S. Probation Office;

The defendant shall not commit any violation of local, state or federal law or ordinance;

During the period of community supervision the defendant shall pay the special assessment and fine in accordance with this judgment's orders pertaining to such payment;

The organization shall be required to notify the Court, through the Probation Officer, immediately upon learning of (1) any material adverse change in its business or financial condition or prospects, or (2) the commencement of any bankruptcy proceeding, major civil litigation, criminal prosecution, or administrative proceeding against the organization, or any investigation or formal inquiry by government authorities regarding the organization;

The organization shall submit to (A) a reasonable number of regular or unannounced examinations of its books and records at appropriate business premises by the probation officer or pursuant to the compliance agreement; and (B) interrogation of knowledgeable individuals within the organization;

The organization shall develop and submit to the Court an effective compliance and ethics program consistent with U.S.S.G. § 8B2.1. The organization shall include in its submission a schedule for implementation of the compliance and ethics program;

Upon approval by the Court of a compliance and ethics program, the organization shall notify its employees and shareholders of its criminal behavior and its compliance and ethics program. Such notice shall be in a form prescribed by the Court;

Any calls received on the "ethics hotline" established as part of the corporate compliance program shall be reported to the Probation Officer; and

The organization shall make quarterly submissions to the Court or probation officer, reporting on the organization's progress in implementing the compliance and ethics program. Among other things, reports in relation to the compliance and ethics program shall disclose any criminal prosecution, civil litigation, or administrative proceeding commenced against the organization, or any investigation or formal inquiry by governmental authorities of which the organization learned since its last report. This includes providing copies of the quarterly audits prepared by the independent monitor for the first six months and the non-independent corporate monitor for the remainder of the term of probation.

It is ordered that the defendant shall pay to the United States a special assessment of $1,200.

It is ordered that the defendant shall pay to the United States a total fine of $500,000, which shall bear interest as provided by law. The fine and special assessment shall be paid within 90 days of the sentencing date.

The defendant shall comply with General Order No. 01-05.

The Court advised the defendant of the right to appeal ...


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