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12 U.S.C. § 4201 — Filing of confidential declarations by private persons
Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** Any person may file a declaration of a violation giving rise to an action for civil penalties under [section 1833a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833a&num=0&edition=prelim) affecting a depository institution insured by the Federal Deposit Insurance Corporation or any other agency or entity of the United States.
**(b) Place of filing** A declaration under subsection (a) shall be filed with the Attorney General of the United States or with an agent designated by the Attorney General for receiving declarations under this section.
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Stable record: federal_law:legal_authorities:record_usc_314ab4edded860a1e67841a6
Source file: Laws/federal/codes/united-states-code/title-12/section-4201-filing-of-confidential-declarations-by-private-persons--0b01eb0211.md
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Passage SHA-256: 890bc4710753999e8f1a5357e1f5ddee18a35f08a422e26420b60f3dd6c02c51
Source location: Title 12, Chapter 43, § 4201; chapter-043-actions-against-persons-committing-bank-fraud-crimes.md
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**(a) In general** Any person may file a declaration of a violation giving rise to an action for civil penalties under [section 1833a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833a&num=0&edition=prelim) affecting a depository institution insured by the Federal Deposit Insurance Corporation or any other agency or entity of the United States.
**(b) Place of filing** A declaration under subsection (a) shall be filed with the Attorney General of the United States or with an agent designated by the Attorney General for receiving declarations under this section.
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** Whoever violates any provision of law to which this section is made applicable by subsection (c) shall be subject to a civil penalty in an amount assessed by the court in a civil action under this section.
**(b) Maximum amount of penalty**
(1) **Generally** — The amount of the civil penalty shall not exceed $1,000,000.
(2) **Special rule for continuing violations** — In the case of a continuing violation, the amount of the civil penalty may exceed the amount described in paragraph (1) but may not exceed the lesser of $1,000,000 per day or $5,000,000.
(3) **Special rule for violations creating gain or loss**
(A) If any person derives pecuniary gain from the violation, or if the violation results in pecuniary loss to a person other than the violator, the amount of the civil penalty may exceed the amounts described in paragraphs (1) and (2) but may not exceed the amount of such gain or loss.
(B) As used in this paragraph, the term “person” includes the Bank Insurance Fund, the Savings Association Insurance Fund, and after the merger of such funds, the Deposit Insurance Fund, and the National Credit Union Share Insurance Fund.
**(c) Violations to which penalty is applicable** This section applies to a violation of, or a conspiracy to violate—
(1) section 215, 656, 657, 1005, 1006, 1007, 1014, or 1344 of title 18;
(2) section 287, 1001, 1032,11 See 1990 Amendment note below. 1341 or 1343 of title 18 affecting a federally insured financial institution; or
(3) [section 645(a) of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section645/a&num=0&edition=prelim).
**(d) Effective date** This section shall apply to violations occurring on or after August 10, 1984.
**(e) Attorney General to bring action** A civil act
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 1833a
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** An appropriate Federal banking agency, with the concurrence of the Attorney General, may pay a reward to a person who provides original information which leads to—
(1) recovery of a criminal fine, restitution, or civil penalty—
(A) under—
(i) this chapter;
(ii) the Federal Credit Union Act [[12 U.S.C. 1751](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1751&num=0&edition=prelim) et seq.];
(iii) section 93(b), 164, or 481 to 485 of this title;
(iv) the Federal Reserve Act [[12 U.S.C. 221](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section221&num=0&edition=prelim) et seq.];
(v) the Bank Holding Company Act Amendments of 1970;
(vi) the Bank Holding Company Act of 1956 [[12 U.S.C. 1841](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1841&num=0&edition=prelim) et seq.];
(vii) the Home Owners’ Loan Act [[12 U.S.C. 1461](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1461&num=0&edition=prelim) et seq.]; or
(viii) [section 3663 of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section3663&num=0&edition=prelim) pursuant to a conviction for an offense referred to in subparagraph (B) of this paragraph,
(B) pursuant to a conviction for an offense under section 215, 656, 657, 1005, 1006, 1007, 1014, 1341, 1343, or 1344 of title 18 affecting a depository institution insured by the Federal Deposit Insurance Corporation, or for a conspiracy to commit such an offense; or
(C) under [section 1833a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833a&num=0&edition=prelim); or
(2) a forfeiture under section 981 or 982 of title 18 that
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 1831k
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Federal law — U.S. Code and appendices · legal_authorities
A declaration filed pursuant to [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim) shall—
(1) set forth the name and address of the declarant and the basis for the declarant’s knowledge of the facts alleged;
(2) allege under oath or affirmation specific facts, relating to a particular transaction or transactions, which constitute a prima facie case of a violation giving rise to an action for civil penalties under [section 1833a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833a&num=0&edition=prelim) affecting a depository institution insured by the Federal Deposit Insurance Corporation or any other agency or entity of the United States;
(3) contain at least 1 new factual element necessary to establish a prima facie case that was unknown to the Government at the time of filing; and
(4) set forth all facts supporting the allegation of a violation described in paragraph (2) known to the declarant, along with the names of material witnesses and the nature and location of documentary evidence known to the declarant.
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4202
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Period of confidentiality** A declarant and the declarant’s agents shall not disclose the existence or filing of a declaration filed pursuant to [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim) until—
(1) the declarant receives notice that the Attorney General has concluded that an action should not be pursued under [section 4206(b) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4206/b&num=0&edition=prelim);
(2) the declarant receives notice of an award pursuant to [section 4206(c) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4206/c&num=0&edition=prelim); or
(3) the declarant is granted a contract to pursue an action under section 4205(b) or 4207 of this title.
**(b) Maintenance of confidentiality to prevent prejudice**
(1) Notwithstanding any other law, the contents of a declaration shall not be disclosed by the declarant if the disclosure would prejudice or compromise in any way the completion of any government investigation or any criminal or civil case that may arise out of, or make use of, information contained in a declaration, but information contained in a declaration may be disclosed as required by duly issued and authorized legal process.
(2) The Attorney General may in a circumstance described in paragraph (1) notify a declarant that continued confidentiality is required under this subsection notwithstanding paragraph (1) or (2) of subsection (a).
**(c) Loss of rights** A declarant who discloses, except as provided by this chapter,11 See References in Text note below. the existence or filing of a declaration or the contents thereof to anyone other than a duly authorized Federa
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4203
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** A declaration filed pursuant to section 4201 11 See References in Text note below. of this title and in accordance with sections 4202 and 4203 of this title is valid unless—
(1) the declaration is filed by a current or former officer or employee of a Federal or State government agency or instrumentality who discovered or gathered the information in the declaration, in whole or in part, while acting within the course of the declarant’s government employment;
(2) the declaration is filed by a person who knowingly participated in the violation of [section 1517 of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section1517&num=0&edition=prelim) or any of the sections of title 18 referred to in [section 1833a(c) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833a/c&num=0&edition=prelim), or any other fraudulent conduct with respect to which the declaration is made;
(3) the declaration is filed by an institution-affiliated party (as defined in [section 1813(u) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1813/u&num=0&edition=prelim)) who withheld information during the course of any bank examination or investigation authorized pursuant to [section 1820 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1820&num=0&edition=prelim) which such party owed a fiduciary duty to disclose;
(4) the declaration is filed by a member of the immediate family of the individual whose activities are the subject of the declaration or where, in the discretion of the Attorney General, it appears the individual could benefit from the award; or
(5) the declaration consists of allegations or transactions that have be
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4204
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** A person who has filed a declaration that meets the requirements of sections 4201 through 4204 of this title shall have the rights stated in this section.
**(b) Civil action** If the Attorney General determines that a cause of action referred to in [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim) based on the declaration should be referred to private counsel pursuant to subchapter III, the declarant, after consultation with the Attorney General, shall have the right to select counsel to prosecute the action, and the declarant and the declarant’s counsel shall act in accordance with subchapter III.
**(c) Criminal conviction**
(1) When the United States obtains a criminal conviction and the Attorney General determines that the conviction was based in whole or in part on the information contained in a valid declaration filed under [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim) the Attorney General may, in his discretion, pay a reward to the declarant 11 So in original. Probably should be followed by a period.
(2) In determining the size of any award under paragraph (1), the Attorney General may, in the Attorney General’s discretion, consider any appropriate factor, including—
(A) the seriousness of the offense for which the conviction was obtained;
(B) the extent to which the facts alleged in the declaration contributed to the conviction;
(C) the number of offenders apprehended pursuant to information provided by the declarant;
(D) whether or not the offender was previously under investigation by any law enforcement agency when the declaration was filed;
(E) the extent t
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4205
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** A person who has filed a declaration that meets the requirements of sections 4201 through 4204 of this title shall have the rights stated in this section.
**(b) Notice of decision not to pursue** If, after review, the Attorney General concludes that the information contained in a declaration should not be pursued in a civil or criminal proceeding, the Attorney General shall so notify the declarant in writing and shall provide a brief statement of the reasons that the declaration will not be pursued.
**(c) Judgment, order, or settlement**
(1) When the United States obtains a judgment, order, or settlement based in whole or in part on a valid declaration filed under [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim), the Attorney General shall notify the declarant in writing of such fact.
(2) A notice described in paragraph (1) shall contain—
(A) the Attorney General’s determination of the amount of the award due the declarant under subsection (c) or (d) of [section 4205 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4205&num=0&edition=prelim) upon recovery by the United States; and
(B) a short statement of reasons for the amount of the award.
**(d) Notice of pendency of investigation or proceeding** If the Attorney General has not provided the declarant with notice under subsection (b) or a notice of invalidity pursuant to [section 4204 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4204&num=0&edition=prelim) within the time period set forth in subsection (e), the Attorney General shall notify the declarant in writing that—
(1) there is a pending investigation or proceeding
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4206
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Federal law — U.S. Code and appendices · legal_authorities
Notwithstanding any other law, an award under this chapter 11 See References in Text note below. may be paid to a declarant, or to an individual providing information, from the amounts recovered through civil actions based in whole or in part on the information provided in a valid declaration under this chapter.1
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4210
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** After the United States obtains a final judgment or settlement in any action referred to in [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim), any person may file a declaration identifying specific assets which might be recovered by the United States in satisfaction of that judgment or settlement.
**(b) Place of filing** A declaration under subsection (a) shall be filed with the Attorney General of the United States or with an agent designated by him for receiving declarations under this section.
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4221
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** The Attorney General may enter into contracts retaining private counsel to furnish legal services, including representation in investigation, negotiation, compromise, settlement, litigation, and execution of judgments in the case of any civil action referred to in [section 4201 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4201&num=0&edition=prelim) or [section 4225 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4225&num=0&edition=prelim).
**(b) Terms and conditions** Each contract under subsection (a) shall include the provisions described in [section 4244 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4244&num=0&edition=prelim) and such other terms and conditions as the Attorney General considers necessary and appropriate to protect the interests of the United States.
**(c) Limitation of fee** The amount of the contingency fee payable for legal services furnished under a contract described in subsection (a) shall not exceed the contingency fee that counsel engaged in the private practice of law in the jurisdiction wherein the legal services are furnished typically charge clients for furnishing the same or comparable legal services.
**(d) Contingent fees** Notwithstanding [section 3302(b) of title 31](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section3302/b&num=0&edition=prelim), a contract under this section shall provide that a fee that the United States pays private counsel for services is payable from the amount recovered and shall be based on a percentage of the civil penalties or assets recovered.
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 4241
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