OFAC List of Settlements and Assessments

Data from OFAC pdf lists at http://www.ustreas.gov/offices/enforcement/ofac/civpen/penalties/index.html
(last upddated 8/29/03)
Name City ST Zip Country or
Regulation or Executive Order Cited		 Description of Actual or Alleged Violation Voluntary? Amount Assessed or Settled List Date
A. Kazemi &Co. Inc. Tucson AZ 20215 560 LC N $ 8,262.00 S 04/04/03
A.B.Y. Paralegal Inc. Miami FL 33175 515 PTRS N $ 750.00 S 04/04/03
AAA Travel Helena MT 59604 515 PTRS N $ 500.00 S 04/04/03
AAR International Inc. Wood Dale IL 60191 Kosovo 1998-1999 Export of Services and Failure to Block property Y $ 9,400.00 S 06/20/03
AdMarket International Southport CT 06490 Kosovo 2001 Funds Transfer N $ 1,115.61 S 07/11/03
Allfirst Financial Inc. Baltimore MD 21203 550 FT Y $ 4,000.00 S 04/04/03
Amazon.com Inc. Seattle WA 32572 515 PS N $ 1,985.68 S 04/04/03
American Airlines Dallas/Ft. Worth Airport TX 75261 Cuba 1999-2000 Provision of Travel-Related Services N $ 47,250.00 S 06/27/03
American Airlines Dallas/Ft. Worth Airport TX 75261 Iran 1997 Transportation of goods N $ 2,750.00 S 06/27/03
Avedis Zildjian Company Norwell MA 2061 Kosovo 1999-2000 Exports of goods to Yugoslavia N $ 2,000.00 S 05/02/03
Axon Corporation Raleigh NC 27603 560 E N $ 45,000.00 S 04/04/03
Banco di Napoli New York NY 10022 550 FT N $ 2,300.00 S 04/04/03
Bancomer S.A. Los Angeles CA 24535 515 FT N $ 5,000.00 S 04/04/03
Bank of New York New York NY 10028 585 FT N $ 24,750.00 A 04/04/03
Bank of the West Los Angeles CA 90017 Cuba E Y $ 72,220.00 S 04/25/03
Bank Polska Kasa Opieki SA/Bank Pekao SA New York NY 10016 Cuba 2001 Funds Transfer N $ 9,725.00 S 07/18/03
Bank United Houston TX 77027 Kosovo 1998 Funds Transfers N $ 5,842.50 A 06/13/03
Barwill Agencies (N.A.)Inc. Houston TX 11472 EO13067 FT N $ 8,250.00 A 04/04/03
Bently Nevada Corporation Minden NV 89423 Sudan 1999 Exportation of goods to Sudan N $ 8,250.00 A 07/11/03
Bio Check Corp. Burlingame CA 28474 560 E Y $ 32,000.00 S 04/04/03
BRI Inc./Bellwether Resources International,Inc. Dallas TX 75248 Kosovo 1999-2000 Exports of goods to Yugoslavia N $ 16,601.74 S 05/02/03
Carrier Access Corp. Boulder CO 14765 560 E Y $ 13,000.00 S 04/04/03
Caterpillar Inc. Peona IL 61629 515 E Y $ 18,000.00 S 04/04/03
Cephar International Inc. Woodridge IL 60517 550 FT N $ 2,750.00 S 04/04/03
Charmilles Techonologies Manufacturing Corporation Owosso MI 48867 538 S Y $ 5,000.00 S 04/04/03
Chevron/Texaco Concord CA 28988 515 575 DP S Y $ 14,071.07 S 04/04/03
Citibank N.A. New York NY 10043 595 DP Y $ 2,925.00 A 04/04/03
Citibank N.A. New York NY 10043 538 FT N $ 2,500.00 S 04/04/03
Coastal Oceanographics, Inc. Middlefield CT 06455 Kosovo 1999-2000 Importation of Services from Yugoslavia N $ 56,750.00 S 06/20/03
Cooper Industries Inc. Syracuse NY 13221 538 E N $ 13,658.00 S 04/04/03
Cornell Pump Co. Portland OR 31686 560 E N $ 1,936.00 A 04/04/03
Credit Lyonnais NY New York NY 10019 550 FT N $ 5,500.00 S 04/04/03
Deutsche Bank A.G. New York NY 10019 Sudan 1999 Funds Transfer N $ 5,500.00 S 05/02/03
Deutsche Bank A.G. New York NY 10019 Sudan 2000 Funds Transfer Y $ 4,500.00 S 05/02/03
Dewey Ballantine LLP Washington DC 20006 North Korea Provision of Services & Dealing in property in which North Korea had an interest in 1997 N $ 13,750.00 S 05/09/03
DNT International Inc. Jamaica NY 11413 Sudan 1999 Unlicensed Shipment N $ 3,599.23 A 08/08/03
Dow Agrosciences LLC Midland MI 48641 515 K Y $ 20,000.00 S 04/04/03
E.H. Wachs Company, Inc. Wheeling IL 60090 Iran 1995-1997 Export of goods to Iran N $ 85,000.00 S 05/16/03
EMO Trans Georgia Inc Atlanta GA 30354 538 E N $ 1,550.00 A 04/04/03
ESPN Inc. Bristol CT 6010 515 K N $ 39,050.86 S 04/04/03
Exxon Mobil Corp. Fairfax VA 22037 538 E Y $ 50,000.00 S 04/04/03
Federal Express Corp. Memphis TN 38132 Cuba 1999 Importation of Cuban-origin goods N $ 1,000.00 S 08/01/03
Felins USA Inc. Milwaukee WI 53223 Kosvo 1999-2000 Exports of goods to Yugoslavia N $ 5,500.00 S 05/30/03
First Security Bank Utah Salt Lake City UT 560 FT N $ 63,200.00 S 04/04/03
Fleet Bank Boston MA 2109 560 515 FT E N $ 41,050.00 S 04/04/03
GEM Communications New York NY 10019 550 CTRT N $ 542.36 S 04/04/03
Green Peace Shipping Lines Apple Valley CA 92307 Sudan 2000 Attempted Exportation and Transportation of goods to Sudan N $ 4,000.00 S 07/18/03
Hanjin Shipping Co., Ltd. Jersey City NJ 07305 Cuba 2000 Importation of goods N $ 39,160.00 A 07/18/03
Havanatur & Travel ServiceInc. Miami FL 33114 Cuba PTRS N $ 2,000.00 A 04/25/03
HSBC Bank USA Newark DE 19713 Yugoslavia 1997-2000 Maintenance of unblocked account and 2000 Funds Transfer Y $ 11,000.00 S 06/06/03
HSBC Bank USA Newark DE 19713 Iran 2001 Funds Transfer Y $ 5,500.00 S 06/06/03
HSBC Bank USA Newark DE 19713 Libya 2001 Funds Transfer N $ 1,944.45 S 06/06/03
IGI Inc. Buena NJ 8310 560 E N $ 225,000.00 S 04/04/03
Ingersoll-Rand Co. Woodcliff Lake NJ 07677 Iraq 1999 Supply of goods to Iraq N $ 137,500.00 S 07/11/03
International Physicians for the Prevention of Nuclear War Inc.(IPPNW) Cambridge MA 2139 515 FT N $ 500.00 S 04/04/03
International Union of Pure &Applied Chemistry (IUPAC) Research Triangle Park NC 27709 539 FT N $ 500.00 S 04/04/03
J.F. Moran Co., Inc. Smithfield RI 02917 Sudan Export of goods to Sudan in 1999 N $ 430.00 S 06/06/03
John Royle &Sons Pompton Lakes NJ 7442 EO 13088 FT N $ 3,000.00 S 04/04/03
Key-Bell Corporation El Dorado Hill CA 95762 Kosvo Exports of goods to Yugoslavia in 2000 N $ 5,697.32 S 06/06/03
Linker Equipment Corporation Hillside NJ 07205 Sudan Execution of contract and Funds Transfers in 1999 N $ 22,000.00 S 06/06/03
LKC Technologies, Inc. Gaithersburg MD 20879 Iran S, AE N $ 2,750.00 S 04/25/03
Lydall Inc. Rochester NH 03866 Kosovo 1998 Funds Transfer N $ 2,750.00 S 06/13/03
Maersk Inc. Madison NJ 07940 Cuba 1993-1994 Shipments to Cuban SDN N $ 40,000.00 S 07/03/03
MAG Instrument, Inc. Ontario CA 91761 Kosovo Export of goods to Yugoslavia in 1999 N $ 4,600.00 S 06/06/03
Metso Minerals a/k/a Svedala Industries Inc. Milwaukee WI 515 CTRT Y $ 10,000.00 S 04/04/03
Mr. Travel Miami FL 33155 Cuba 1997-2000 Provision of travel-related services and failure to retain records of transactions relating to Cuba N $ 2,000.00 A 05/23/03
MSA Haute Couture Inc. New York NY 10018 560 FT N $ 4,000.00 S 04/04/03
National Australia Bank New York NY 10166 550 FT N $ 4,779.73 S 04/04/03
National City Bank Cleveland OH 44101 Iran 1999 Maintenance of account N $ 5,500.00 S 07/18/03
National City Bank Cleveland OH 44101 Kosovo 1999-2000 Unblocking of funds and discrepant report N $ 250.00 S 07/18/03
New York Yankees Bronx NY 10451 515 K N $ 75,000.00 S 04/11/03
Northern Trust IBC New York NY 10040 515 538 586 FT N $ 18,027.00 S 04/04/03
Omega World Travel Fairfax VA 22031 515 PTRS Y $ 1,000.00 S 04/04/03
Paul Sims Inc. Richmond VA 23233 EO13121 I N $ 1,880.00 S 04/04/03
Planson International Corp. New Glouchester ME 04260 Cuba 2002 Attempted Export of goods to Cuba N $ 1,091.25 S 06/13/03
Playboy Enterprises Inc. Chicago IL 60611 515 CTRT N $ 27,500.00 S 04/18/03
Royal Crown Co. White Plains NY 10604 538 E N $ 38,200.00 S 04/04/03
Ruffin Company Wichita KS 67217 515 K N $ 42,964.18 S 04/11/03
Safra National Bank New York NY 10036 538 FT N $ 5,380.79 A 04/04/03
Scientific Games Inc. Alpharetta GA 30004 550 E DP N $ 3,000.00 S 04/18/03
Silberline Manufacturing Co. Inc. Tamaqua PA 18252 560 S Y $ 2,750.00 S 04/11/03
Societe Generale, New York New York NY 10020 Libya 2001 Funds Transfer N $ 11,000.00 A 07/11/03
ST Travel Pasadena CA 91106 Cuba 2000 Importation of Cuban-origin goods N $ 2,948.00 S 07/25/03
Stanadyne Automotive Corp. Windsor CT 6095 538 FFR N $ 1,000.00 S 04/04/03
State Bank of India New York NY 10022 EO13121 FT N $ 5,500.00 S 04/11/03
State Street Bank & Trust Co. Boston MA 02110 Reporting & Procedures Regulations Failure to file reports in 1997-2000 N $ 22,000.00 S 06/06/03
Stolt-Nielson Transportation Group Greenwich CT 6836 538 FT N $ 95,000.00 S 04/11/03
Tacala Inc. Birmingham AL 35243 515 I N $ 1,235.00 A 04/04/03
The Cargill Lumber Co. Minneapolis MN 55440 515 FT N $ 2,000.00 S 04/04/03
Triangle Wholesale Racine WI 53403 EO13088 I N $ 11,000.00 S 04/04/03
U.S. Volleyball Association Colorado Springs CO 80910 Cuba 1998 Contract in which Cuba has an interest and 1999 Funds Transfer N $ 10,000.00 S 06/06/03
UBS(USA) Inc. New York NY 10171-0026 Iraq Transfer N $ 14,750.00 S 05/30/03
UBS(USA) Inc. New York NY 10171-0026 Cuba 2001 Funds Transfer Y $ 5,000.00 S 05/30/03
Union Bank of CA San Francisco CA 28568 EO13121 FT N $ 14,913.96 S 04/04/03
Union Bank of CA San Francisco CA 28568 560 EFT N $ 12,000.00 A 04/04/03
Union Bank of California San Francisco CA 94111 Iraq 2001 Funds Transfer Y $ 4,800.00 S 06/13/03
Union Planters Bank Cordova TN 38018 538 FT N $ 4,500.00 A 04/04/03
United Marine Ltd. and SG Global S.A. North Miami Beach FL 33168 Cuba 1998 Contract with Cuban Entity for shipment of household goods N $ 6,200.00 A 05/02/03
Univar USA, Inc. Old Bridge NJ 08857 Kosovo Export of goods to Yugoslavia in 2000 N $ 3,952.10 S 06/06/03
Universe Tankship LLC New York NY 10001 Kosovo 1998 Funds Transfer N $ 3,000.00 S 07/03/03
University of California at Los Angeles Oakland CA 94623 Iran 2001 Funds Transfers and Execution of contract N $ 5,750.00 S 07/18/03
Varco International, Inc. Orange CA 92868 Sudan Exports of goods to Sudan in 1999 N $ 7,428.59 S 06/06/03
Vee-Marine Int'l Corp. Houston TX 11466 538 E N $ 24,750.00 A 04/04/03
Voices in the Wilderness Chicago IL 60640 575 E N $ 20,000.00 A 04/18/03
Wal-Mart Stores Inc. Bentonville AR 7180 515 DP N $ 50,000.00 S 04/04/03
Waterfront Beer and Wine, Inc. So. Boston MA 02210 Cuba 1999 Purchase and sale of Cuban-origin goods N $ 12,440.00 A 07/03/03
Wells Fargo Bank San Francisco CA 28567 538 FT N $ 5,500.00 S 04/04/03
Witte Travel &Tours Grand Rapids MI 49512 550 E N $ 1,300.00 S 04/04/03
World Auto Parts Houston TX 11555 560 IFT N $ 5,500.00 S 04/04/03
Yusen Air &Sea Services (USA) East Boston MA 2128 560 E N $ 767.51 A 04/04/03
Zim American Israeli Shipping Co. Inc. Miami FL 33132 515 DP/CTRT N $ 250,000.00 S 04/04/03
TOTALS $2,144,174.93    
Regulations and Executive Orders Cited As Legal Authorities
31 CFR Section or Executive Order Topic
500 Foreign assets control regulations
501 Reporting and procedures regulations
505 Regulations prohibiting transactions involving the shipment of certain merchandise between foreign countries
515 Cuban assets control regulations
535 Iranian assets control regulations
536 Narcotics trafficking sanctions regulations
537 Burmese sanctions regulations
538 Sudanese sanctions regulations
539 Weapons of mass destruction trade control regulations
540 Highly enriched uranium (HEU) agreement assets control regulations
545 Tabilan (Afghanistan) sanctions regulations
550 Libyan sanctions regulations
560 Iranian transactions regulations
575 Iraqi sanctions regulations
585 Federal Republic of Yugoslavia (Serbia and Montenegro) and Bosnian Serb-controlled areas of the Republic of Bosnia and Herzegovina sanctions regulations
586 Federal Republic of Yugoslavia (Serbia & Montenegro) Kosovo sanctions regulations
587 Federal Republic of Yugoslavia (Serbia and Montenegro) Milosevic sanctions regulations
588 Western Balkans stabilization regulations
590 Angola (UNITA) sanctions regulations
591 Rough diamonds (Sierra Leone & Liberia) sanctions regulations
595 Terrorism sanctions regulations
596 Terrorism List Governments sanctions regulations
597 Foreign terrorist organizations sanctions regulations
598 Foreign narcotics kingpin sanctions regulations
EO13067 Blocking Sudanese Government Property and Prohibiting Transactions With Sudan
EO13088 Blocking Property of the Governments of the Federal Republic of Yugoslavia (Serbia and Montenegro), the Republic of Serbia, and the Republic of Montenegro, and Prohibiting New Investment in the Republic of Serbia in Response to the Situation in Kosovo, June 9, 1998
EO13121 Blocking Property of the Governments of the Federal Republic of Yugoslavia (Serbia and Montenegro), the Republic of Serbia, and the Republic of Montenegro, and Prohibiting New Investment in the Republic of Serbia in Response to the Situation in Kosovo, May 1, 1999
OFAC Abbreviations for Description of Conduct
CTRT Currency travel-related transaction
DP Dealing in Property
E Export (Goods or Services)
FFR Failure to File Report
FT Funds Transfer
F602 Failure to Respond to .602 Request
H Hearing
I Import (Goods or Services)
IS Informal Settlement
K Contract in which Cuba has an interest
LC Letter of Credit
PS Provision of Services
PTRS Provision of Travel-Related Services