U.S. District Court
United States District Court for the District of Connecticut (New Haven)
CRIMINAL DOCKET FOR CASE #: 3:12-cr-00146-WWE All Defendants


Case title: USA v. United Technologies Corporation et al

Date Filed: 06/28/2012

Assigned to: Judge Warren W. Eginton

Defendant (1)
United Technologies Corporation represented byJames T. Cowdery
Cowdery, Ecker & Murphy
280 Trumbull Street
22nd Floor
Hartford, CT 06103
860-278-5555
Fax: 860-249-0012
Email: jcowdery@cemlaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
18:1001.F STATEMENTS OR ENTRIES GENERALLY
(2)

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None

Assigned to: Judge Warren W. Eginton

Defendant (2)
Pratt & Whitney Canada Corp represented byJames T. Cowdery
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
22:2778(b)(2)ATTEMPTED EXPORTATION OF ARMS AND MUNITIONS
(1)
The defendant shall be placed on probation for a total term of 2 years. Defendant to pay a special assessment in the total amount of $800.00 and a fine in the amount of $4,600,000.00. The defendant must pay the fine and special assessment by wire transfer or check within 14 days after the day of sentencing.
18:1001.F STATEMENTS OR ENTRIES GENERALLY
(2)
The defendant shall be placed on probation for a total term of 2 years. Defendant to pay a special assessment in the total amount of $800.00 and a fine in the amount of $4,600,000.00. The defendant must pay the fine and special assessment by wire transfer or check within 14 days after the day of sentencing. ADDITIONAL FORFEITED PROPERTY: The defendant must pay a sum of money in the amount of $2.3 million, which represents a reasonable estimate of the total gross profit arising from the conduct set forth in Count 1. No later than 14 days after the day of sentencing, the defendant must make payment in full of the foregoing money judgment forfeiture, in the form of a wire transfer or check for $2.3 million payable to the U.S. Department of Homeland Security for deposit into the U.S. Department of Treasury Forfeiture Fund for disposition in accordance with law.
22:2778C.F CRIMINAL VIOLATIONS
(3)
Deferred

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None

Assigned to: Judge Warren W. Eginton

Defendant (3)
Hamilton Sundstrand Corporation represented byJames T. Cowdery
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
18:1001.F STATEMENTS OR ENTRIES GENERALLY
(2)
22:2778C.F CRIMINAL VIOLATIONS
(3)

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented byDavid B. Fein
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-821-3700
Email: David.Fein@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Michael J. Gustafson
U.S. Attorney's Office-HFD
450 Main St. Room 328
Hartford, CT 06103
860-760-7960
Fax: 860-760-7979
Email: mike.gustafson@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Stephen Benjamin Reynolds
U.S. Attorney's Office-NH
157 Church St., 25th floor
New Haven, CT 06510
203-696-3000
Fax: 203-579-5575
Email: Stephen.Reynolds@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Date Filed #Docket Text
06/28/2012INFORMATION as to United Technologies Corporation (1) count(s) 2, Pratt & Whitney Canada Corp (2) count(s) 1, 2, 3, Hamilton Sundstrand Corporation (3) count(s) 2, 3. (Blough, B.) (Entered: 06/29/2012)
06/28/2012WAIVER OF INDICTMENT by United Technologies Corporation (Blough, B.) (Entered: 06/29/2012)
06/28/2012WAIVER OF INDICTMENT by Pratt & Whitney Canada Corp (Blough, B.) (Entered: 06/29/2012)
06/28/2012WAIVER OF INDICTMENT by Hamilton Sundstrand Corporation (Blough, B.) (Entered: 06/29/2012)
06/28/2012Deferred Prosecution Agreement by USA as to United Technologies Corporation, Pratt & Whitney Canada Corp, Hamilton Sundstrand Corporation (Blough, B.) (Entered: 06/29/2012)
06/28/2012 JOINT MOTION for Deferred Prosecution Continuance by USA and United Technologies Corporation. (Blough, B.) (Entered: 06/29/2012)
06/28/2012ORDER granting 6 Motion for Deferred Prosecution Continuance as to United Technologies Corporation (1). Signed by Judge Warren W. Eginton on 6/28/2012. (Blough, B.) (Entered: 06/29/2012)
06/28/2012 JOINT MOTION for Deferred Prosecution Continuance by USA and Pratt & Whitney Canada Corp. (Blough, B.) (Entered: 06/29/2012)
06/28/2012ORDER granting 8 Motion for Deferred Prosecution Continuance as to Pratt & Whitney Canada Corp (2). Signed by Judge Warren W. Eginton on 6/28/2012. (Blough, B.) (Entered: 06/29/2012)
06/28/201210  JOINT MOTION for Deferred Prosecution Continuance by USA and Hamilton Sundstrand Corporation. (Blough, B.) (Entered: 06/29/2012)
06/28/201211 ORDER granting 10 Motion for Deferred Prosecution Continuance as to Hamilton Sundstrand Corporation (3). Signed by Judge Warren W. Eginton on 6/28/2012. (Blough, B.) (Entered: 06/29/2012)
06/28/201213 Minute Entry for proceedings held before Judge Warren W. Eginton:Initial Appearance and Waiver/Plea Hearing as to Pratt & Whitney Canada Corp held on 6/28/2012, Sentencing set for 6/28/2012 01:40 PM in Courtroom Three-Annex, 915 Lafayette Blvd., Bridgeport, CT before Judge Warren W. Eginton. 31 minutes(Court Reporter/ECRO S. Baldwin.)(Blough, B.) (Entered: 06/29/2012)
06/28/201214 PLEA AGREEMENT as to Pratt & Whitney Canada Corp, Plea entered by Pratt & Whitney Canada Corp (2) Guilty Count 1,2 by Pratt & Whitney Canada Corp (Blough, B.) (Entered: 06/29/2012)
06/28/201215 Minute Entry for proceedings held before Judge Warren W. Eginton:Sentencing as to Pratt & Whitney Canada Corp held on 6/28/2012: 25 minutes(Court Reporter/ECRO S. Baldwin.)(Blough, B.) (Entered: 06/29/2012)
06/28/201216 JUDGMENT as to Pratt & Whitney Canada Corp (2), Count(s) 1 and 2 The defendant shall be placed on probation for a total term of 2 years. Defendant to pay a special assessment in the total amount of $800.00 and a fine in the amount of $4,600,000.00. The defendant must pay the fine and special assessment by wire transfer or check within 14 days after the day of sentencing; Count(s) 3 is deferred. ADDITIONAL FORFEITED PROPERTY: The defendant must pay a sum of money in the amount of $2.3 million, which represents a reasonable estimate of the total gross profit arising from the conduct set forth in Count 1. No later than 14 days after the day of sentencing, the defendant must make payment in full of the foregoing money judgment forfeiture, in the form of a wire transfer or check for $2.3 million payable to the U.S. Department of Homeland Security for deposit into the U.S. Department of Treasury Forfeiture Fund for disposition in accordance with law. Signed by Judge Warren W. Eginton on 6/28/2012. (Blough, B.) (Entered: 07/10/2012)
06/29/201212 TRANSCRIPT of Proceedings: as to United Technologies Corporation, Pratt & Whitney Canada Corp, Hamilton Sundstrand Corporation Held on 6/28/12 (Excerpt of Guilty Plea and Waiver of Pratt & Whitney Canada Corporation) before Judge Warren W. Eginton. Court Reporter: Steve Bowles. IMPORTANT NOTICE - REDACTION OF TRANSCRIPTS: To remove personal identifier information from the transcript, a party must electronically file a Notice of Intent to Request Redaction with the Clerk's Office within seven (7) calendar days of this date. If no such Notice is filed, the court will assume redaction of personal identifiers is not necessary and the transcript will be made available through PACER without redaction 90 days from today's date. The transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. The policy governing the redaction of personal information is located on the court website at www.ctd.uscourts.gov. Redaction Request due 7/20/2012. Redacted Transcript Deadline set for 7/30/2012. Release of Transcript Restriction set for 9/27/2012. (Bowles, S.) (Entered: 06/29/2012)