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Enforcement Action Dataset

 

Initiation Date:    10/05/2015  Information

Prosecuting Agency:    US Department of Justice

Name of Prosecuting Attorneys:   

  • Preet Bharara, United States Attorney
  • Daniel C. Richenthal, Assistant United States Attorney
  • Janis M. Echenberg, Assistant United States Attorney
  • Douglas S. Zolkind, Assistant United States Attorney
  • Rahul Mukhi, Assistant United States Attorney

Assisting Agencies:    Unknown

Type of Action:    DOJ Criminal Proceeding

Docket or Case Number:    15-cr-00706

Court:    S.D. New York

Origin of the Proceeding:    Unknown

Whistleblower:    Unknown

Case Status:    Ongoing


Summary  Information

John W. Ashe was the Ambassador to the U.N. for Antigua and Barbuda from 2004 through December 2014. From September 2013 through September 2014, Ashe served as the President of the U.N. General Assembly.

Francis Lorenzo was the Ambassador to the U.N. for the Dominican Republic from 2004 through October 2015. During Ashe's term as President of the U.N. General Assembly, Lorenzo served as a Special Adviser to Ashe.

Ng Lap Seng was the head of the Sun Kian Ip Group, a real estate development company based in Macau, China. In late 2009, Seng helped found the Global Sustainability Foundation, a non-governmental organization based in New York, which was used as a media platform that covered stories on sustainable development, the U.N., and other related topics.

Jeff C. Yin was Seng's principal assistant at the Sun Kian Ip Group.

Shiwei Yan was a founder and the CEO of the Global Sustainability Foundation.

Heidi Hong Park was the Finance Director of the Global Sustainability Foundation.

According to the allegations in the charging documents, from about 2011 through September 2015, Seng and Yin, in coordination with Yan and Park, paid at least hundreds of thousands of dollars to Ashe and Lorenzo in order to obtain formal support from the UN for a multi-billion dollar conference center that Seng, through the Sun Kian Ip Group, was attempting to build in Macau. Seng hoped that the U.N. would establish the Macau conference center as the permanent site of the annual UN Office for South-South Cooperation Expo and as a location for other U.N. meetings and events.

On October 20, 2015, the DOJ filed an indictment in the Southern District of New York against Ashe, Lorenzo, Seng, Yin, and Yan alleging a variety of bribery, money laundering, and tax evasion counts. However, at the time, no FCPA violations were alleged. Park was added as a defendant in a superseding information filed on January 14, 2016.

On January 14, 2016, Park pled guilty to all the counts in the superseding information. Her sentencing has been adjurned several times, so as soon as that occurs, we will update the database.

On January 20, 2016, the DOJ filed a superseding information against Yan alleging one count of bribery, and shortly thereafter, Yan pled guilty to that one count. The court issued judgment against Yan on Augist 4, 2016. Yan was sentenced to 20 months in prison to be followed by 2 years of supervised release and ordered to pay a criminal fine of $12,500 plus a mandatory assessment of $100.

On March 16, 2016, the DOJ filed a superseding information against Lorenzo alleging (1) conspiracy to pay bribes, (2) payment of bribes, (3) conspiracy to commit money laundering, (4) money laundering, (5) submitting false income tax returns, and (6) willful failure to file reports of foreign bank and financial records. According to a docket entry made the same day, Lorenzo pleaded guilty to all six claims.

On June 22, 2016, Ashe died in an accident in his home, so on July 7, 2016, the DOJ filed a nolle prosequi, dropping the charges against Ashe.

On November 22, 2016, the DOJ filed a second superseding indictment against Seng and Yin alleging (1) conspiracy to pay bribes, violate the anti-bribery provisions of the FCPA, and commit money laundering; (2) pay bribes; (3-4) violate the anti-bribery provisions of the FCPA; (5) conspiracy to commit money laundering; (6) money laundering; (7) conspiracy to defraud the U.S.; and (8) obstruction of administration of IRS laws.

On April 7, 2017, Yin pled guilty to count 7 (conspiracy to defraud the U.S.) of the superseding indictment.

On April 27, 2017, the DOJ filed a new superseding information against Lorenzo alleging (1) conspiracy to pay and receive bribes and violate the FCPA, (2) payment of bribes, (3) solicitation and receipt of bribes, (4) direct violations of the FCPA, (5) conspiracy to commit money laundering, (6) money laundering, (7) subscribing to false and fraudulent U.S. income tax returns, and (8) willful failure to file reports of foreign bank and financial records. On the same date, Lorenzo withdrew his earlier guilty plea and pleaded guilty to the charges in the new superseding information. He is scheduled to be sentenced on September 12, 2019.

On July 27, 2017, Seng was convicted on all counts by a jury.

On March 26, 2018, the court sentenced Yin to 7 months in prison to be followed by 2 years of supervised release and ordered him to pay a mandatory assessment of $100 and restitution to the IRS of $61,674.

On June 7, 2018, the court sentenced Seng to 4 years in prison to be followed by three years of supervised release, and the court ordered Seng to pay a fine of $1 million plus a mandatory $600 assessment, to forfeit $1.5 million, and to pay $302,977.20 in restitution to the United Nations. The court further ordered Seng deported following his imprisonment. On June 8, 2018, Seng filed an appeal in the Second Circuit Court of Appeals. The appeal is ongoing.

Country(ies) involved:    Antigua and Barbuda, Dominican Republic

Region(s) involved:    Latin America

Sanction to Bribe Ratio:    Not Applicable

Sanction to Revenue Ratio:    Not Applicable

Sanction to Profit Ratio:    Not Applicable

FCPA Matter Name:   Sun Kian Ip Group's Involvement with the U.N. between 2011 and 2015 Information

Number of Related Enforcement Actions (Including This Enforcement Action):    1

Country(ies) involved:    Antigua and Barbuda, Dominican Republic

Region(s) involved:    Latin America

Total $ Bribery Payments:    Unknown

Total $ Revenue Generated from Bribery:    Unknown

Total $ Profit Earned or Expenses Avoided from Bribery:    Unknown

Total $ Monetary Sanctions (U.S. Sanctions Only):    $2,877,951

Sanction to Bribe Ratio:    Not Applicable

Sanction to Revenue Ratio:    Not Applicable

Sanction to Profit Ratio:    Not Applicable

Name:    John W. Ashe

Employers & Positions:    - President of U.N. General Assembly; Permanent Representative to the U.N. for Antigua and Barbuda

Country:    Antigua and Barbuda

FCPA Claims:    None

Related Claims:    Filing False Income Tax Returns (26 U.S.C. § 7206)

Statutory Basis for FCPA Jurisdiction:    Not Applicable


Name:    Francis Lorenzo

Employers & Positions:    - Deputy Permanent Representative to the U.N. for the Dominican Republic

Country:    Dominican Republic

FCPA Claims:    Anti-Bribery, Conspiracy (18 U.S.C. 371) ; Anti-Bribery, Primary, Domestic Concern (15 U.S.C. § 78dd-2) ; Anti-Bribery, Aiding and Abetting/Causing (18 U.S.C. § 2, 15 U.S.C. §§ 78dd-1, 78dd-2, and/or 78dd-3)

Related Claims:    Conspiracy to Commit Bribery (18 U.S.C. § 371; 18 U.S.C. § 666) ; Bribery (18 U.S.C. § 666) ; Conspiracy to Launder Money (18 U.S.C. §§ 1956, 1957) ; Money Laundering (18 U.S.C. § 1956) ; Filing False Income Tax Returns (26 U.S.C. § 7206) ; Criminal Forfeiture (28 U.S.C. § 2461; 18 U.S.C. § 981) ; Criminal Forfeiture (18 U.S.C. § 982) ; Failure to File Reports of Foreign Bank and Financial Records (31 U.S.C. §§ 5314, 5322; 31 C.F.R. §§ 1010.350, 1010.306, 1010.840)

Statutory Basis for FCPA Jurisdiction:    Domestic Concern ; Domestic Concern (Officer) ; Domestic Concern (Agent) ; Domestic Concern (Employee) ; Domestic Concern (Director) ; Domestic Concern (Stockholder) ; Conspirator ; Aider & Abettor/Cause/Control Person


Name:    Ng Lap Seng

Employers & Positions:    Sun Kian Ip Group - Head

Country:    China

FCPA Claims:    Anti-Bribery, Conspiracy (18 U.S.C. 371) ; Anti-Bribery, Primary, Domestic Concern (15 U.S.C. § 78dd-2) ; Anti-Bribery, Aiding and Abetting/Causing (18 U.S.C. § 2, 15 U.S.C. §§ 78dd-1, 78dd-2, and/or 78dd-3) ; Anti-Bribery, Primary, Other (15 U.S.C. § 78dd-3)

Related Claims:    Conspiracy to Commit Bribery (18 U.S.C. § 371; 18 U.S.C. § 666) ; Bribery (18 U.S.C. § 666) ; Conspiracy to Launder Money (18 U.S.C. §§ 1956, 1957) ; Money Laundering (18 U.S.C. § 1956) ; Criminal Forfeiture (28 U.S.C. § 2461; 18 U.S.C. § 981) ; Criminal Forfeiture (18 U.S.C. § 982)

Statutory Basis for FCPA Jurisdiction:    Domestic Concern ; Domestic Concern (Employee) ; Domestic Concern (Officer) ; Domestic Concern (Agent) ; Domestic Concern (Stockholder) ; Domestic Concern (Director) ; Conspirator ; Aider & Abettor/Cause/Control Person ; Foreign Nationals and Entities


Name:    Jeff C. Yin

Employers & Positions:    Sun Kian Ip Group - Assistant

Country:    China

FCPA Claims:    Anti-Bribery, Conspiracy (18 U.S.C. 371) ; Anti-Bribery, Primary, Domestic Concern (15 U.S.C. § 78dd-2) ; Anti-Bribery, Aiding and Abetting/Causing (18 U.S.C. § 2, 15 U.S.C. §§ 78dd-1, 78dd-2, and/or 78dd-3) ; Anti-Bribery, Primary, Other (15 U.S.C. § 78dd-3)

Related Claims:    Conspiracy to Commit Bribery (18 U.S.C. § 371; 18 U.S.C. § 666) ; Bribery (18 U.S.C. § 666) ; Conspiracy to Launder Money (18 U.S.C. §§ 1956, 1957) ; Money Laundering (18 U.S.C. § 1956) ; Criminal Forfeiture (28 U.S.C. § 2461; 18 U.S.C. § 981) ; Criminal Forfeiture (18 U.S.C. § 982) ; Conspiracy to Defraud the United States (18 U.S.C. § 371) ; Corrupt Attempt to Impede Due Administration of the Internal Revenue Code (26 U.S.C. § 7212(a))

Statutory Basis for FCPA Jurisdiction:    Domestic Concern ; Domestic Concern (Employee) ; Domestic Concern (Officer) ; Domestic Concern (Agent) ; Domestic Concern (Stockholder) ; Domestic Concern (Director) ; Conspirator ; Aider & Abettor/Cause/Control Person ; Foreign Nationals and Entities


Name:    Shiwei Yan

Employers & Positions:    Global Sustainability Foundation - Founder and CEO

Country:    China, United States

FCPA Claims:    None

Related Claims:    Conspiracy to Commit Bribery (18 U.S.C. § 371; 18 U.S.C. § 666) ; Bribery (18 U.S.C. § 666) ; Conspiracy to Launder Money (18 U.S.C. §§ 1956, 1957) ; Money Laundering (18 U.S.C. § 1956) ; Criminal Forfeiture (28 U.S.C. § 2461; 18 U.S.C. § 981) ; Criminal Forfeiture (18 U.S.C. § 982)

Statutory Basis for FCPA Jurisdiction:    Not Applicable


Name:    Heidi Hong Park

Employers & Positions:    Global Sustainability Foundation - Finance Director

Country:    China

FCPA Claims:    None

Related Claims:    Conspiracy to Commit Bribery (18 U.S.C. § 371; 18 U.S.C. § 666) ; Bribery (18 U.S.C. § 666) ; Conspiracy to Launder Money (18 U.S.C. §§ 1956, 1957) ; Money Laundering (18 U.S.C. § 1956) ; Criminal Forfeiture (28 U.S.C. § 2461; 18 U.S.C. § 981) ; Criminal Forfeiture (18 U.S.C. § 982) ; Failure to File Reports of Foreign Bank and Financial Records (31 U.S.C. §§ 5314, 5322; 31 C.F.R. §§ 1010.350, 1010.306, 1010.840)

Statutory Basis for FCPA Jurisdiction:    Not Applicable

Name:    Global Sustainability Foundation

Entity Type:    Private Non-Profit Organization

Place of Incorporation:   

HQ Country(ies):   

Industry:    Non-profit Organization


Name:    Sun Kian Ip Group

Entity Type:    Private Company

Place of Incorporation:    Macao

HQ Country(ies):    Macao

Industry:    Real Estate

Period of Bribery:   2011 - 2015

Total Bribery Payments:    Unknown

Total Revenue Generated from Bribery:    Unknown

Total Profit Earned or Expenses Avoided from Bribery:    Unknown

Country(ies) involved:    Antigua and Barbuda, Dominican Republic

Region(s) involved:    Latin America

Officials Potentially Influenced (Name; Title; Organization): 

  • Francis Lorenzo; Ambassador to the U.N.; Dominican government
  • John W. Ashe; Ambassador to the U.N.; Antiguan government

Affiliates, Subsidiaries and Joint Ventures Involved in the Misconduct:    None/Unknown

Third-Party Intermediary:   

  • Unnamed third parties , Agent/Consultant/Broker

Type of Bribe:   Money

Cash, Wire or Check:    Cash (bills/coins/etc.), Check/Bank Draft

Purpose of Bribe:    Obtain/retain business

TRANSACTION OVERVIEW
Bribery of Antiguan and Dominican Ambassadors

Period of Bribery:   2011 – 2015

Total Bribery Payments:    Unknown

Total Revenue Generated from Bribery:    Unknown

Total Profit Earned or Expenses Avoided from Bribery:    Unknown

Country(ies) involved:    Antigua and Barbuda, Dominican Republic

Region(s) involved:    Latin America

Officials Potentially Influenced (Name; Title; Organization):  

  • John W. Ashe; Ambassador to the U.N.; Antiguan government;
  • Francis Lorenzo; Ambassador to the U.N.; Dominican government;

Affiliates, Subsidiaries and Joint Ventures Involved in the Misconduct:    None/Unknown

Third Party Intermediary:    Unnamed third parties - Agent/Consultant/Broker

Type of Bribe:   Money

Cash, Wire or Check:    Cash (bills/coins/etc.), Check/Bank Draft

Purpose of Bribe:    Obtain/retain business

Not Applicable

Mitigating Factors Referenced by the Government (Individual Defendants):

Defendant Cooperation
Francis Lorenzo  
Heidi Hong Park  
Jeff C. Yin  
John W. Ashe  
Ng Lap Seng  
Shiwei Yan  

Aggravating Factors Referenced by the Government (Individual Defendants):

Defendant Insufficient Cooperation
Francis Lorenzo  
Heidi Hong Park  
Jeff C. Yin  
John W. Ashe  
Ng Lap Seng  
Shiwei Yan  

Total Monetary Sanctions for the Action:    $2,877,951

Case Status:    Ongoing


Disposition:    Dismissal with Prejudice (Pre-Trial)

Date of Disposition:    07/07/2016

John W. Ashe

—  Total Monetary Sanctions for Defendant:    $0

—  Imprisonment/Incarceration:    None

—  Probation/Supervised Release:    None

—  House Arrest:    None

—  Community Service:    None


Disposition:    Plea Agreement (Sanctions Undetermined)

Date of Disposition:   

Heidi Hong Park

—  Total Monetary Sanctions for Defendant:    $0

—  Imprisonment/Incarceration:    None

—  Probation/Supervised Release:    None

—  House Arrest:    None

—  Community Service:    None

—  Admission of Guilt/Acceptance of Responsibility:    Yes


Disposition:    Plea Agreement

Date of Disposition:    08/04/2016

Shiwei Yan

—  Total Monetary Sanctions for Defendant:    $12,600

—  Imprisonment/Incarceration:    20 months

—  Probation/Supervised Release:    24 months

—  House Arrest:    None

—  Community Service:    None

—  Admission of Guilt/Acceptance of Responsibility:    Yes


Disposition:    Plea Agreement (Sanctions Undetermined)

Date of Disposition:    04/27/2017

Francis Lorenzo

—  Total Monetary Sanctions for Defendant:    $0

—  Imprisonment/Incarceration:    None

—  Probation/Supervised Release:    None

—  House Arrest:    None

—  Community Service:    None

—  Admission of Guilt/Acceptance of Responsibility:    Yes


Disposition:    Trial (Criminal) - Conviction (Convicted on All Counts)

Date of Disposition:    07/27/2017

Ng Lap Seng

—  Total Monetary Sanctions for Defendant:    $2,803,577

—  Imprisonment/Incarceration:    48 months

—  Probation/Supervised Release:    36 months

—  House Arrest:    None

—  Community Service:    None


Disposition:    Plea Agreement

Date of Disposition:    04/07/2017

Jeff C. Yin

—  Total Monetary Sanctions for Defendant:    $61,774

—  Imprisonment/Incarceration:    7 months

—  Probation/Supervised Release:    24 months

—  House Arrest:    None

—  Community Service:    None

—  Admission of Guilt/Acceptance of Responsibility:    Yes

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