Defendant Name: UTStarcom, Inc.

Defendant Type: Public Company
SIC Code: 3660
CUSIP: 91807610

Initial Case Details

Legal Case Name SEC v. UTStarcom, Inc.
First Document Date 31-Dec-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-06094
Allegation Type Foreign Corrupt Practices Act
Federal District Court California, Northern District of California

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 30A

Resolutions

First Resolution Date 31-Dec-2009
Headline Total Penalty and Disgorgement $1,500,000

Related Documents:

comp21357 31-Dec-2009 Complaint
Complaint
On December 31, 2009, the SEC filed a complaint against UTStarcom, Inc. alleging violations of the Foreign Corrupt Practices Act.
LR-21357 31-Dec-2009 Litigation Release
SEC Charges California Telecom Company with Bribery and Other FCPA Violations
On December 31, 2009, the SEC issued a litigation release announcing that it submitted a settled complaint against UTStarcom, Inc. for violations of the Foreign Corrupt Practices Act.
2009-277 31-Dec-2009 Press Release--Civil Action
SEC Charges California Telecom Company With Bribery and Other FCPA Violations
On December 31, 2009, the SEC announced that it charged UTStarcom, Inc. with violations of the Foreign Corrupt Practices Act for authorizing nearly $7 million in illicit payments to foreign government officials in Asia. The Commission also alleges the company provided gifts, included all-expenses paid trips to government customers in China and Taiwan.
court_doc10_09-cv-06094 14-Apr-2010 Court Docket Document
Final Judgment as to Defendant UTStarcom, Inc.
On April 13, 2010, Federal District Judge Thelton E. Henderson entered final judgment against UTStarcom, Inc. pursuant to UTStarcom's consent.

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In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie
UTStarcom, Inc.
Hong Liang Lu
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