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United States v. Swisher Hygiene Inc. - Case No. 3:15-cr-237

October 7, 2015 - Filing of Bill of Information and Deferred Prosecution Agreement

On October 7, 2015, the U.S. Attorney's Office for the Western District of North Carolina announced the filing of criminal charges against Swisher Hygiene, Inc. and a John Pierrard, a former senior-level corporate accounting employee, in connection with accounting fraud at Swisher. The criminal charges relate to Swisher’s scheme to defraud the investing public by materially misrepresenting Swisher’s financial position throughout fiscal year 2011. On the same day, the U.S. Attorney's Office also announced that Swisher has entered into a deferred prosecution agreement with the government, in which it accepts responsibility for the accounting fraud scheme and agrees to pay a $2 million monetary penalty.

United States v. Pierrard - Case No. 3:15-cr-238

The U.S. Attorney's Office has also charged former senior-level corporate accounting employee John Pierrard, 49, of Delray Beach, Florida, for his role in Swisher’s scheme to manipulate its books and records to fraudulently inflate reported earnings. Pierrard is charged with one count of conspiracy to commit securities fraud, to falsify books, records, and accounts of Swisher, and to make misleading statements to Swisher’s auditors and accountants. The filed bill of information for Pierrard also describes a conspiracy to obstruct justice by misleading the investigators Swisher retained to conduct the independent investigation into the allegations of accounting fraud. A plea agreement for Pierrard was also filed today and he is expected to appear before a U.S. magistrate un the coming days to plead guilty to the charges.

NOTICE OF ALTERNATIVE VICTIM NOTIFICATION PROCEDURES

On October 15, 2015, the U.S. Attorney's Office filed a Notice of Alternative Victim Notification Procedures on the grounds that the number of such crime victims makes it impracticable to accord such crime victims the rights described in subsection 3771(a) (see below).

United States v. Kipp and Viard - Case No. 3:15-cr-244

Swisher’s former chief financial officer, Michael Kipp, 61, of Charlotte, and certified public accountant and Swisher’s former director of external reporting, Joanne Viard, 36, of Santa Rosa Beach, Florida, have been charged in connection with a securities fraud conspiracy allegedly carried out at Swisher throughout fiscal year 2011 and a subsequent obstruction of justice scheme in 2012. Kipp and Viard with one count of conspiracy to commit securities fraud, to falsify books, records, and accounts of Swisher, and to make misleading statements to Swisher’s auditors and accountants; one count of securities fraud; one count of wire fraud; and one count of obstruction of justice for each defendant. Kipp is also charged with one count of bank fraud. on securities fraud and obstruction of justice charges. The collectively defendants were indicted on October 19, 2015 and each made their initial appearance on October 20, 2015. The Court has set an initial docket call for November 16, 2015.

NOTICE OF ALTERNATIVE VICTIM NOTIFICATION PROCEDURES

On October 28, 2015, the U.S. Attorney's Office filed a Notice of Alternative Victim Notification Procedures on the grounds that the number of such crime victims makes it impracticable to accord such crime victims the rights described in subsection 3771(a) (see below).