Defendant Name: York International Corporation

Defendant Type: Subsidiary of Public Company
Public Company Parent: Johnson Controls, Inc.
SIC Code: 2531
CUSIP: 47836610

Initial Case Details

Legal Case Name SEC v. York International Corp.
First Document Date 01-Oct-2007
Initial Filing Format Civil Proceeding
Case Number 07-cv-01750
Allegation Type Foreign Corrupt Practices Act
Federal District Court District of Columbia, District of Columbia

Violations Alleged

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

Resolutions

First Resolution Date 01-Oct-2007
Headline Total Penalty and Disgorgement $12,032,880

Related Documents:

comp20319 01-Oct-2007 Complaint
Complaint
The SEC stated: "York International Corporation ("York International" or the "Company"), and certain of its subsidiaries, violated the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act (the "FCPA') by making illicit payments to secure and maintain business opportunities worldwide."
LR-20319 01-Oct-2007 Litigation Release
SEC Files Settled Foreign Corrupt Practices Act Charges Against York International Corporation For Improper Payments to UAE Officials, to Iraq Under the U.N. Oil for Food Program, and to Others - - Company Agrees to Pay Over $12 Million and to Retain an Independent Compliance Monitor
The SEC stated that: "[It] filed anti-bribery, internal controls, and books and records charges under the Foreign Corrupt Practices Act against York International Corporation ("York International") in the U.S. District Court for the District of Columbia. York International, a global provider of heating, ventilation, air conditioning, and refrigeration products and services, was acquired by Johnson Controls, Inc. in 2005."
court_doc2_07-cv-01750 02-Oct-2007 Court Docket Document
Final Judgement as to Defendant York International Corporation
On October 2, 2007, the Court issued a final judgment as to Defendant York International Corporation stating: "Defendant . . . consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment."