司法部国家安全司首个「Near Miss」不起诉协议：Extreme Networks付975,721.84美元了结对俄军工销售案
美国司法部10月27日宣布，司法部国家安全司与网络设备商 Extreme Networks, Inc. 达成不起诉协议，该公司同意支付刑事罚款共计 975,721.84 美元，了结其涉嫌违反美国制裁与出口管制法规、向俄罗斯军工企业销售网络设备与服务的调查。这是司法部全司企业执法政策下首个「Near Miss」类不起诉协议。
该协议依据司法部 2026 年《企业执法与自愿自我披露政策》达成，该政策鼓励企业主动披露所发现的不当行为、配合司法部调查，并及时、适当地作出补救。「Near Miss」指企业已全面配合并作出适当补救、但未达到免于起诉条件的案件。司法部表示，Extreme Networks 向国家安全司所作的披露并不及时，因为披露发生在新闻媒体即将公开报道的威胁之下；但该公司此后全面配合调查，并及时、适当地补救了不当行为，其披露因此被认定为「Near Miss」式自愿自我披露。
依据协议，Extreme Networks 将没收涉案违法所得 487,860.92 美元，并支付刑事罚款 487,860.92 美元，两项合计 975,721.84 美元。该公司还将另行了结财政部外国资产控制办公室（OFAC）的一项平行行政程序。
调查源于该公司向莫斯科机械制造厂 Avangard（MMZA）的销售。MMZA 是一家俄罗斯武器制造商，其母公司 Almaz-Antey 于 2014 年 7 月被 OFAC 列入特别指定国民与被封锁人员名单；MMZA 是俄军 S-300 与 S-400 防空导弹系统的主要生产商之一。2018 年 3 月至 2022 年 3 月前后，Extreme Networks 通过其当时设在俄罗斯的子公司 Extreme Networks Rus LLC，在未取得 OFAC 许可或授权的情况下，处理并履行了向 MMZA 供应网络设备与服务的 11 笔采购订单。部分驻俄员工向公司的全球贸易合规部门隐瞒了 MMZA 的身份，导致公司通过自动出口系统提交虚假的电子出口信息，并将货物从美国走私出境。司法部称，该公司通过这些销售获得约 487,860.92 美元收入。
司法部表示，该公司在调查中及时提供了相关事实与文件，并安排员工接受问询；补救措施包括终止与协助涉案销售的第三方分销商的合同、改进筛查程序、增聘合规人员，以及在并购活动中实施尽职调查程序。鉴于上述举措且本案不存在加重情节，司法部同意以不起诉协议结案。
联邦调查局（FBI）反情报与间谍司助理司长 Roman Rozhavsky 表示，这份不起诉协议与近百万美元的刑事罚款，标志着针对向俄罗斯武器制造商非法销售先进网络设备与服务一案的调查成功了结，并称本案应成为一个明确警告：试图违反美国法律、为美国的对手提供武装者，终将被绳之以法。国土安全调查局（HSI）Detroit 办公室代理特别探员主管 Jeremy Pierczynski 表示，该局将继续与执法和监管伙伴合作，查处规避美国出口管制与制裁、向外国武器制造商提供商品或服务的行为。此案由 FBI Charlotte 外地办事处、商务部工业与安全局与 HSI 共同调查，起诉工作由司法部国家安全司反情报与出口管制处前审判律师 Maria Fedor 与北卡罗来纳东区联邦助理检察官 Adam Hulbig 负责。
Extreme Networks 总部位于北卡罗来纳州 Morrisville，设计、开发和制造有线与无线网络基础设施设备及相关软件，1996 年创立，在纳斯达克证券交易所上市，股票代码 EXTR。
First 'Near Miss' Non-Prosecution Agreement for DOJ National Security Division: Extreme Networks to Pay $975,721.84 Over Sales to Russian Weapons Maker
The U.S. Department of Justice announced on Oct. 27 that its National Security Division has entered into a non-prosecution agreement with networking equipment maker Extreme Networks, Inc., which agreed to pay criminal penalties totaling $975,721.84 to resolve an investigation into sanctions and export control offenses involving sales of networking equipment and services to a Russian weapons manufacturer. It is the first "near miss" non-prosecution agreement under the Department-wide Corporate Enforcement Policy.
The agreement was reached under the Department's 2026 Corporate Enforcement and Voluntary Self-Disclosure Policy, which incentivizes companies to voluntarily disclose discovered misconduct, cooperate with Department investigations, and timely and appropriately remediate the wrongdoing. A "near miss" case is one that involved full cooperation and appropriate remediation but did not qualify for a declination of prosecution. The Department said Extreme Networks' disclosure to the National Security Division was not timely, because it occurred under imminent threat of disclosure by a news publication, but the company nonetheless fully cooperated with the investigation and timely and appropriately remediated the misconduct, so its disclosure qualified as a "Near Miss" voluntary self-disclosure.
Under the agreement, Extreme Networks will forfeit $487,860.92 in proceeds from the sanctions and export control offenses and pay a criminal fine of $487,860.92, for a total criminal penalty of $975,721.84. The company will also resolve a parallel administrative action by the Treasury Department's Office of Foreign Assets Control (OFAC).
The case arose out of the company's sales to the Moscow Machinery Building Plant Avangard (MMZA), a Russian weapons manufacturer owned by JSC Concern Almaz-Antey, which OFAC added to the Specially Designated Nationals and Blocked Persons List in July 2014. MMZA was a primary producer of the S-300 and S-400 anti-aircraft missile systems used by the Russian army. Between around March 2018 and March 2022, Extreme Networks, through its then Russia-based subsidiary Extreme Networks Rus LLC, processed and fulfilled 11 purchase orders for networking equipment and services to MMZA without the required license or authorization from OFAC. Certain Russia-based employees concealed MMZA's identity from the company's global trade compliance group, causing the company to file false electronic export information through the Automated Export System and to smuggle goods from the United States. The Department said the company earned approximately $487,860.92 in revenue from the sales.
The Department said the company cooperated with the investigation by timely providing relevant facts and documents and making employees available for interviews, and appropriately remediated the misconduct by terminating its contract with the third-party distributor it used to facilitate the sales, improving its screening procedures, hiring additional compliance personnel, and implementing diligence procedures in connection with mergers and acquisitions. Given those steps and the lack of aggravating circumstances, the Department agreed to enter into the non-prosecution agreement.
Roman Rozhavsky, Assistant Director of the FBI's Counterintelligence and Espionage Division, said the non-prosecution agreement and near-million-dollar criminal penalty mark the successful resolution of the investigation into the illegal sale of advanced networking equipment and services to a Russian weapons manufacturer, and warned that those who attempt to arm U.S. adversaries by violating U.S. law will be brought to justice. Jeremy Pierczynski, Acting Special Agent in Charge of Homeland Security Investigations (HSI) Detroit, said HSI will continue working with law enforcement and regulatory partners to identify and hold accountable those who evade U.S. export controls and sanctions to provide goods or services to foreign weapons manufacturers. The case was investigated by the FBI's Charlotte Field Office, the Commerce Department's Bureau of Industry and Security, and HSI, and was prosecuted by former Trial Attorney Maria Fedor of the National Security Division's Counterintelligence and Export Control Section and Assistant U.S. Attorney Adam Hulbig for the Eastern District of North Carolina.
Extreme Networks is headquartered in Morrisville, North Carolina, designs, develops and manufactures wired and wireless network infrastructure equipment and related software, and trades on the Nasdaq Stock Market under the ticker EXTR.
来源：GSM·美国（原文链接）
图片来源：图：Extreme Networks 公司标志。公共领域（PD），来源：Wikimedia Commons / Photo: Extreme Networks logo. Public domain (PD), via Wikimedia Commons
