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For Immediate Release
December 30, 2003
Contact: George Smaragdis
Ron Harris
Bob Biersack
Ian Stirton
COMPLIANCE CASES MADE PUBLIC

WASHINGTON -- In the course of reviewing materials related to closed enforcement cases, the Commission has discovered 16 matters that were closed in recent years where documents were not released to the public. The case files are being released now pursuant to disclosure policies in effect at the time of their closure. The FEC has taken steps to ensure that no other cases have been closed without public release.

1. MUR 3987  
     
  RESPONDENT: (a) Friends of Jane Harman, its treasurer

(b) Honorable Jane Harman

(c) Hughes Aircraft Company

(d) C. Michael Armstrong

(e) T.G. Westerman

(f) W.D. Merritt

(g) Hughes Aircraft Company Active Citizenship Fund, Daralyn E. Reed, treasurer

  COMPLAINANTS: Susan Brooks for Congress
  SUBJECT: Corporate contributions
  DISPOSITION: (c) Conciliation Agreement: $40,000 civil penalty

Hughes Aircraft Company violated the Act by providing the use of corporate facilities and personnel for fundraising activities and by facilitating the making of $21,000 in contributions to a federal candidate.

(a-e) Close the file

(b) No reason to believe [re: corporate contributions]

(d-f) Take no further action

(g) Take no action

  DOCUMENTS ON PUBLIC RECORD: First General Counsel's Report (dated, April 10, 1996);

Certification of vote by Commissioners (dated April 23, 1996); General Counsel's Memorandum to the Commission (dated April 29, 2003); Certification of vote by Commissioners (dated May 2, 1996); Statement of Reasons (Chairman Elliott, Vice Chairman McGarry, Commissioners Aikens, McDonald and Thomas); General Counsel's Report (dated September 10, 1996); Certification of vote by Commissioners (dated September 16, 1996); Conciliation Agreement (dated September 18, 2003); General Counsel's Brief (dated October 7, 1997); Respondent's Brief (dated November 21, 1997); General Counsel's Report (dated February 18, 1998); Certification of vote by Commissioners (dated March 3, 1998); General Counsel's Report (dated June 23, 1998); Certification of vote by Commissioners (dated June 23, 1998); Court Documents from FEC v. Friends of Jane Harman; General Counsel's Report (dated July 6, 2000); and Certification of vote by Commissioners (dated July 13, 2000)

     
2. MUR 4365/4534  
     
  RESPONDENTS: Al Salvi for Senate Committee, its treasurer
  COMPLAINANT: Asa K. Keener (MUR 4365)

Internal (MUR 4534)

  SUBJECT: Failure to report loans; failure to file 48 hour notices; failure to properly disclose campaign activity
  DISPOSITION: Close the file
  DOCUMENTS ON PUBLIC RECORD: General Counsel's Brief (dated March 18, 1997), Respondent's Brief (dated May 27, 1997); General Counsel's report (dated August 20, 1997); Certification of vote by Commissioners (dated September 9, 1997); General Counsel's Report (dated January 6, 1998); Certification of vote by Commissioners (dated January 8, 1998); Decision of U.S. Court of Appeals in FEC v. Al Salvi for Senate Committee; and Certification of vote by Commissioners (dated April 17, 2000)
     
3. MUR 4476  
     
  RESPONDENTS: (a) Wyoming State Democratic Central Committee, its treasurer

(b) Karpan for Wyoming, Roger Schreiner, treasurer

  COMPLAINANT: National Republican Senatorial Committee
  SUBJECT: Disclaimers, excessive contributions, use of nonfederal funds to pay for contributions, reporting contributions
  DISPOSITION: (a) No reason to believe [re: disclaimers]

Failed by a vote of 3-3 to find probable cause to believe [re: excessive contributions, reporting contributions, use of nonfederal funds to pay for contributions]

(b) Failed by a vote of 3-3 to find probable cause to believe [re: excessive contributions, reporting contributions]

  DOCUMENTS ON PUBLIC RECORD: First General Counsel's Report (dated June 10, 1998); Certification of vote by Commissioners (dated June 18, 1998);

Certification of vote by Commissioners (dated August 7, 2001);

     
4. MUR 4503  
     
  RESPONDENTS: (a) South Dakota Democratic Party, its treasurer

(b) Tim Johnson for South Dakota, Inc., Berniece F. Mayer, treasurer

  COMPLAINANT: National Republican Senatorial Committee
  SUBJECT: Use of nonfederal funds to pay for contributions, excessive contributions, reporting contributions, disclaimers
  DISPOSITION: (a) Conciliation Agreement: $7,500 civil penalty

South Dakota Democratic Party violated the Act by paying for campaign brochures with funds not subject to the limits of the Act and by failing to report $21,140 in coordinated party expenditures on behalf of Congressman Johnson's campaign committee

No reason to believe [re: disclaimers]

Take no further action and close the file [re: excessive contributions, failure to report contributions and use of nonfederal funds to pay for contributions in the form of radio and television ads that were aired during the 1996 general election]

(b) Take no further action and close the file

  DOCUMENTS ON PUBLIC RECORD: First General Counsel's Report (dated June 29, 1998); Certification of vote by Commissioners (dated July 1, 1998); Certification of vote by Commissioners (dated March 20, 2001); General Counsel's Report #4 (dated July 26, 2001); Certification of vote by Commissioners (dated August 7, 2001); Certification of vote by Commissioners (dated August 27, 2001); Conciliation Agreement
     
5. MUR 4670/5098/5099/5170/5171  
     
  RESPONDENTS: (a) Dole for President, Inc.

(b) Dole/Kemp '96, Inc.

(c) Dole/Kemp '96 Compliance Committee, Inc.

(d) NTFC Capital Corporation, Inc.

(e) Branch Banking & Trust Corporation

  COMPLAINANT: 4670 (Mark Kleinman), 5098/5099/5170/5171 (Internal)
  SUBJECT:  
  DISPOSITION: (a-c) Conciliation Agreement: $75,000 civil penalty

Dole for President, Inc. violated the Act by:

�1 accepting excessive contributions from the Republican National Committee and failing to report them;

�2 exceeding the overall spending limitation for the presidential primary elections; and

�3 making an excessive contribution to Dole/Kemp '96, Inc. and failing to report the contribution.

Dole/Kemp '96 violated the Act by:

�1 exceeding the overall spending limitation for the presidential general election;

�2 receiving excessive contributions from Dole for President, Inc. and failing to report them; and

�3 receiving a prohibited corporate contribution from Branch, Banking & Trust Corporation.

(d) Conciliation Agreement: $7,000 civil penalty

NTFC Capital Corporation did not collect debts of approximately $35,214 owed by Dole for President, Inc. and made corporate contributions.

(e) Conciliation Agreement: $22,000 civil penalty

Branch Banking & Trust Corporation violated the Act by making corporate contributions, but does not concede that the record established a violation. Dole/Kemp '96 bank accounts at Branch Banking & Trust Corporation were overdrawn (ranging from a low of $192,752 to a high of $1,068,484) at various times during the fall of 1996.

(a) Reason to believe, but take no further action [re: spending $53,094 in excess of Iowa spending limit]

(b) Reason to believe, but take no further action [re: accepting $487,033 from the press]

  DOCUMENTS ON PUBLIC RECORD: First General Counsel's Report (dated December 12, 2000); Certification of vote by Commissioners (dated January 17, 2001); Certification of vote by Commissioners (dated September 7, 2001); Conciliation Agreements; Global Settlement and Release; and Certification of vote by Commissioners (dated September 19, 2001)
     
6. MUR 4826  
     
  RESPONDENTS: (a) Dole for President, Inc., Robert J. Dole, treasurer

(b) Heritage Foundation

  COMPLAINANT: This MUR was severed from MURs 4382 and 4401
  SUBJECT: Corporate contributions
  DISPOSITION: (a-b) Failed by a vote of 3-2 to enter into a pre-probable cause conciliation with Dole for President, Inc. and the Heritage Foundation and approve the Conciliation Agreement
  DOCUMENTS ON PUBLIC RECORD: Certifications of vote by Commissioners (dated October 20, 1998, September 12, 2000, and September 19, 2000);
     
7. MUR 4910R  
     
  RESPONDENTS: (a) The Honorable Rush Holt

(b) Rush Holt for Congress, Inc., Pamela H. Mount, treasurer

(c) Margaret Lancefield

  COMPLAINANT: Tom Blomquist
  SUBJECT: Failure to adequately report contributions, failure to file 48 hour notices
  DISPOSITION: (b) Conciliation Agreement: $8,500 civil penalty

Rush Holt for Congress, Inc. and Pamela H. Mount as treasurer violated the Act by accepting $5,600 in excessive contributions, failing to file 48 hour notices for 18 contributions totaling $19,500, filing late 48 hour notices for 24 contributions totaling $31,000 and failing to properly report several refunds, reattributions and redesignations. Respondents will cease and desist from violating these provisions of the law.

(a,c) Take no further action

(a-b) No reason to believe [re: failure to adequately report contributions]

(a) No reason to believe [re: failure to file 48 hour notices]

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 4910R under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
8. MUR 4974  
     
  RESPONDENTS: (a) Patrick Joseph Tiberi

(b) Tiberi for Congress, Jeffrey T. Benton, treasurer

(c) Kasich 2000, William L. Curlis, treasurer

(d) Leadership PAC 2002, Pamela Sederholm, treasurer

(e) Florida Republican Leadership PAC, Donna F. Winterson, treasurer

(f) The Freedom Project, Bruce Gates, treasurer

(g) Promoting Republicans You Can Elect Project (PRYCE Project), Barbara Bonfiglio, treasurer

(h) Pioneer Political Action Committee, Jack Hanson, treasurer

(i) Friends of Tiberi, William L. Curlis, treasurer

(j) Citizens for Mead, Thomas J. Riley, treasurer

(k) Citizens for Gardner, Randy Gardner, treasurer

(l) Citizens for Hottinger, Larry D. Wise, treasurer

  COMPLAINANT: Jonathan Poe
  SUBJECT: Prohibited contributions, failure to register and report, failure to report contribution
  DISPOSITION: (b,i) Conciliation Agreement: $1,900 civil penalty

Friends of Tiberi and Tiberi for Congress, respectively, violated the Act by making and receiving $1,922 in prohibited contributions. Friends of Tiberi violated the Act by failing to register and file periodic reports. Tiberi for Congress violated the Act by failing to report a $922 contribution from Friends of Tiberi. Respondents will cease and desist from violating these provisions of the Act.

(a) Take no action

(d, e, j, k) Take no further action

(c, g, f, h, l) No reason to believe

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 4974 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
9. MUR 5017/5205  
     
  RESPONDENTS: (a) Friends of Ronnie Shows, Cecil Brown, treasurer

(b) International Brotherhood of Electrical Workers' Committee on Political Education, Edwin D. Hill, treasurer

(c) Maintenance of Way Political League, William E. LaRue, treasurer

(d) Nancy Pelosi for Congress, Paul F. Pelosi, treasurer

(e) William C. Deviney, Jr.

(f) William H. Liston

(g) Carl L. Nicholson, Jr.

(h) Earline C. Sawyer

(i) Ray A. Sims

(j) Phyllis Smith

(k) David Stephens

(l) Lawrence W. Warren

(m) David Berndt

(n) R.L. Kemp (a.k.a. Jerry W. Kemp)

(o) Adcock/Apple Apartments

(p) L&K Investments

(r) Southern Development

(s) Carpenter Construction Co.

(t) D&M Construction

(u) Dorsey & Thom's Chiropractic Clinic, P.A.

(v) Dulin & Dulin, Ltd.

(w) Duncan Lee Lott, P.A.

(x) Dungan Engineering, P.A.

(y) Employer Plus, Inc.

(z) Funches & Associates

(aa) Gerald J. Diaz, Jr., P.A.

(bb) Great Southern Tractor

(cc) Greenville Chiro. Clinic

(dd) Ingram & Assoc.

(ee) Kirk & Co.

(ff) Natchez Steam Laundry

(gg) Southwest Publishers

(hh) Tollison Law Firm, P.A.

(ii) Charles V. McTeer

(jj) Langston/Frazer Properties

(kk) Ronnie Shows

(ll) David Fortenberry

(mm) Richard Halbert

(oo) John Harvey

(pp) Bill Kelly

(qq) Frank McWhorter, Jr.

(rr) Peggy McWhorter

(ss) Robert Riley

(tt) Susan Riley

(uu) B.J. Selters

(vv) Richard Topp

(ww) Debra Topp

(xx) Charles Warren

(yy) Andrea Warren

  COMPLAINANT: National Republican Congressional Committee (5017)

Internal (5205)

  SUBJECT: Excessive contributions, contributions in the name of another, corporate contributions, cash contributions, failing to properly itemize contributions
  DISPOSITION: (a) Conciliation Agreement: $25,000 civil penalty

Friends of Ronnie Shows violated the Act by:

�1 accepting $53,000 in excessive contributions from individuals;

�2 accepting $3,000 in excessive contributions from political committees;

�3 accepting a $13,000 contribution in the name of another;

�4 accepting $5,850 in prohibited corporate contributions;

�5 accepting $9,205 in excessive cash contributions

�6 failing to properly itemize contributions from individuals.

(g) Conciliation Agreement: $6,500 civil penalty

Carl L. Nicholson, Jr. violated the Act by making an excessive contribution of $14,000 to Friends of Ronnie Shows and violated the Act by making a $13,000 contribution in the name of another.

(l) Conciliation Agreement: $1,900 civil penalty

Lawrence W. Warren violated the Act by making an excessive contribution of $6,500 to Friends of Ronnie Shows.

(c, o, p, r) No reason to believe

(b, d, e, f, h-j, m, n, ii) Reason to believe, take no further action, send admonishment letter [re: excessive contributions]

( s-hh) Reason to believe, take no further action, send admonishment letter [re: corporate contribution]

(k) Reason to believe, take no further action, send admonishment letter [re: cash contribution]

(jj-yy) Take no action

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5017 or 5205 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
10. MUR 5101  
     
  RESPONDENTS: (a) Yaakov Bender

(b) Yeshiva Darchei Torah

(c) Rita Abrams

(d) Shimon Dachs

(e) Esther Bald

(f) Lynne Gordon

(g) Judah Harbater

(h) Phyllis Lipshitz

(i) Scott Marchuck

(j) Pearl Neufeld

(k) David Presser

(l) Aron Rosenberg

(m) Russell Rothman

(n) Shoshana Strickman

(o) Zelda Volk

(p) Libby Yavne

(q) Meyer Berman

(r) Roger Kahn

(s) Friends of Roger Kahn, Inc., G. Scott Rafshoon, treasurer

(t) Stewart Strickman

(u) Deborah Marchuck

(v) Miriam Rosenberg

  COMPLAINANT: National Republican Congressional Committee, Donald F. McGahn, II
  SUBJECT: Contributions in the name of another, corporate contributions
  DISPOSITION: (a) Conciliation Agreement: $14,000 civil penalty

Yaakov Bender violated the Act by assisting Yeshiva Darchei Torah in making contributions to Friends of Roger Kahn, Inc. in his name as well as the names of 13 Yeshiva employees.

(b) Take no further action and send admonishment letter

(c-s) Take no further action and close the file

(c-h, j-k, o-p, t-v) Send admonishment letter

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5101 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
11. MUR 5173  
     
  RESPONDENTS: (a) Republicans for Choice Political Action Committee, Ann E. W. Stone

(b) Direct Marketing Finance & Escrow, Inc.

(c) Raymond J. Bowie

(d) Ann E.W. Stone & Associates

(e) Saturn Corporation

(f) Valley Press, Inc.

(g) Palmer Technical Services, Inc.

(h) Direct Approach, Inc.

(i) The Widmeyer-Baker Group, Inc.

(j) Diversified Data Processing & Consulting, Inc., dba Diversified Data & Communications, Inc.

(k) Touch Tone Telemarketing, Inc.

(l) Chicago Telemarketing, Inc.

(m) McCarthy, Marcus, Hennings, Ltd.

(n) Larry McCarthy

  COMPLAINANT: Internal
  SUBJECT: Corporate contributions, excessive contributions, failing to file accurate reports
  DISPOSITION: (a) Conciliation Agreement: $90,000 civil penalty

Republicans for Choice violated the Act by:

�1 knowingly accepting prohibited contributions in the form of loans from Direct Marketing Finance & Escrow, Inc. and failing to properly report the loan;

�2 failing to pay for $282,694 of federal expenditures from its federal account;

�3 misstating its cash-on-hand, total and itemized receipts, and disbursements for 1995 and 1996;

�4 failing to identify the occupation and name of employer for itemized individual contributions; and

�5 reporting adjustments of debts and obligations that did not occur.

(b-c) Conciliation Agreement: $11,000 civil penalty

Direct Marketing Finance & Escrow, Inc. (DMFE) knowingly and willfully violated the Act by making prohibited corporate contributions in the form of loans totaling $398,487. Raymond J. Bowie knowingly and willfully violated the Act by consenting, as an officer of DMFE, to DMFE making prohibited corporate contributions in the form of the above referenced loan.

(a) No probable cause to believe [re: knowingly accepting prohibited contributions in the form of forgiveness of debt from Saturn Corporation and Diversified Data Processing & Consulting]

Take no further action [re: corporate contributions from Ann E. W. Stone & Associates]

(d-e) Take no further action

(j) Reason to believe, but take no further action [re: corporate contribution]

(f-i, k-l) No reason to believe [re: corporate contribution]

(m-n) No reason to believe [re: excessive contributions]

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5173 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
12. MUR 5250  
     
  RESPONDENTS: (a) Congressman Tom Davis

(b) Congressman Tom Delay

(c) Congressman Bill Thomas

(d) Congressman Porter Goss

(e) National Republican Congressional Committee, Donna Anderson, treasurer

(f) Maria Cino

(g) Dan Brouillette

(h) Robert Wood

(i) Tom Scully

(j) Nicholas E. Calio

  COMPLAINANTS: Larry Klayman and Thomas Fitton, Judicial Watch
  SUBJECT: Meetings in exchange for contributions, reporting contribution "offsets"
  DISPOSITION: (a-j) No reason to believe [re: any provision of the Act]
  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5250 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
13. MUR 5260  
     
  RESPONDENTS: (a) Jim Talent

(b) Talent for Senate Committee, Garrett M. Lott, treasurer

(c) Missouri Renewal Political Action Committee, John McKenzie, treasurer

(d) Jennifer Woodbury

(e) Richard Chrismer

(f) Missouri Republican State Committee, Harvey M. Tettlebaum, treasurer

(g) Washington University of St. Louis

(h) Arent Fox Kitner Plotkin and Kahn, PLLC

(i) Missouri Hospital Association

(j) National Federation of Independent Businesses

(k) Midwest Manufacturing Technology Corporation

(l) Unigroup, Inc.

(m) Logan College of Chiropractics, Inc.

(n) HBE Corporation

(o) Interlift, Inc.

(p) May Department Stores International, Inc.

(q) Sioux City Truck and Trailer, Inc.

(r) Shaughnessy-Kniep-Hawe Paper Company

(s) Bryan Printing Company

(t) Sandhill Quilting Co., Inc.

(u) Western Press, Inc.

(v) Fry Investment Company

(w) A.J. Brown, Inc.

(x) Abilheira & Ferrare, P.C.

(y) A-Mrazek Moving Systems, Inc.

(z) Tubular Steel Industries, Inc.

(aa) TMP Worldwide, Inc.

(bb) Hunter Engineering Company

(cc) Shilli Corporation

(dd) GFI Digital, Inc.

(ee) Gary Schell

(ff) Robert J. Human

  COMPLAINANT: Michael S. Kelley
  SUBJECT: Corporate contributions, excessive contributions, failure to report campaign activity
  DISPOSITION: (a-c, e) No reason to believe [re: corporate contributions, excessive contributions, failure to report campaign activity]

(g, i-dd) No reason to believe [re: corporate contributions]

(d, h) No reason to believe [re: corporate or excessive contributions]

(f, ee-ff) No reason to believe [re: excessive contributions]

  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5260 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.
     
14. MUR 5295  
     
  RESPONDENTS: (a) Subandi Tanuwidjaja

(b) Suryanti Tanuwidjaja

(c) Kyung Hoon "John" Lee

(d) Arief Wiriadinata

(e) Soraya Wiriadinata

(f) Jessica Elnitiarta

(g) Panda Estates Investment, Inc.

(h) Ted Sioeng

  COMPLAINANT: Severed from MUR 4530
  SUBJECT: Foreign national contributions, contributions in the name of another
  DISPOSITION: (a-h) Take no further action
  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5295 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.

The Enforcement Priority System (EPS) rates all incoming cases against objective criteria to determine whether they warrant use of the Commission�s limited resources.

Cases dismissed under EPS fall into two categories: low-rated cases and stale cases. Low rated cases are those that do not warrant use of the Commission�s resources to pursue because of their lower significance relative to other pending matters. Stale cases are those that initially received a higher rating but have remained unassigned for a significant period due to a lack of staff resources for effective investigation. Effective enforcement relies upon the timely pursuit of complaints and referrals to ensure compliance with the law. Investigations concerning activity more remote in time usually require a greater commitment of resources, primarily due to the fact that the evidence of such activity becomes more difficult to develop as it ages. The utility of commencing an investigation declines as these cases age, until they reach a point when activation of a case would not be an efficient use of the Commission�s resources. As cases reach this point, they are recommended for dismissal.

Dismissed - Low Rated
15.    
  MUR 5215  
     
  RESPONDENTS: (a) Hobson for Congress Committee

(b) Eileen Austria

(c) Chris Galm

(d) Hugh D. Barnett

(e) Ohio Right to Life

(f) Donald Jones

  COMPLAINANT: John R. Mitchel
  SUBJECT: Use of government resources and employees for campaign activity
  DISPOSITION: (d) No reason to believe [re: any provision of the Act]
  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5215 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.

 

Dismissed - Stale
16.    
  MUR 5042  
     
  RESPONDENTS: DNC Services Corporation/Democratic National Committee, Andrew Tobias, treasurer
  COMPLAINANT: Melinda Fabrikant
  SUBJECT: Deposit of soft money into federal account
  DOCUMENTS ON PUBLIC RECORD: Documents from this matter are available from the Commission�s web site at fec.gov by entering 5042 under case number. They are also available in the FEC's Public Records Office at 999 E St. NW in Washington.

 

*There are four administrative stages to the FEC enforcement process:

1. Receipt of proper complaint 3. "Probable cause" stage
2. "Reason to believe" stage 4. Conciliation stage

It requires the votes of at least four of the six Commissioners to take any action. The FEC can close a case at any point after reviewing a complaint. If a violation is found and conciliation cannot be reached, then the FEC can institute a civil court action against a respondent.

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