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Internal Investigations 2010: How to Protect Your Clients or Company


Speaker(s): Alan R. Glickman, Christopher B. Wren, Christopher Garcia, Daniel J. Kramer, David L. Kornblau, Elaine H. Mandelbaum, George S. Canellos, Harry J. Weiss, James E. Johnson, John F. Savarese, Marcus A. Asner, Martine M. Beamon, Matthew W. Cooper, Mei Lin Kwan-Gett, Michael Berlin, Michael Delikat, Nancy Kestenbaum, Nicolas Bourtin, Samuel J. Winer, Sung-Hee Suh, Thomas L. Riesenberg
Recorded on: Jun. 8, 2010
PLI Program #: 23979

Christopher Wren is Senior Counsel in the Litigation Department of Bristol-Myers Squibb, Co., where he oversees commercial litigation and government investigations. His practice currently focuses on pricing, promotional and marketing-related matters, as well as environmental litigation. Mr. Wren manages the staff of the Litigation Department and supervises the activities of the Company's outside counsel.

Prior to joining Bristol-Myers Squibb, Co., Mr. Wren was an associate in the New York office of Hogan & Hartson L.L.P., engaged in a broad commercial litigation practice in matters before state and federal courts and arbitration panels. His practice encompassed litigation involving class actions, consumer fraud, products liability and intellectual property.

Mr. Wren received his B.A., cum laude, from Lake Forest College in 1993. He received his J.D. from Vermont Law School in 1999, where he was the president of the Trial Advocacy Moot Court Board and captain of the school's National Trial Competition team. Mr. Wren served as an international monitor of elections in Bosnia-Herzegovina after the Dayton Peace Accords. Prior to commencing his legal career, Mr. Wren was a law enforcement ranger, firefighter and emergency medical technician with the National Park Service in Olympic National Park, Washington and Sequoia National Park, California.


Marcus Asner is a partner in the white collar criminal defense practice group. His practice encompasses international and domestic criminal investigations and prosecutions, including complex business fraud cases, cases involving allegations of bank fraud, healthcare fraud, money laundering, accounting fraud, and securities fraud, and matters involving alleged violations of the Foreign Corrupt Practices Act (FCPA). He also handles complex civil litigation, including commercial, antitrust, and trade secret disputes. Mr. Asner has extensive experience in computer law and intellectual property disputes and investigations, criminal tax investigations and litigation, and public corruption investigations and prosecutions. He also has experience working closely with over a dozen law enforcement agencies, including the Federal Bureau of Investigation, the United States Secret Service, the Department of Homeland Security, Immigration and Customs Enforcement, the United States Postal Inspection Service, the Internal Revenue Service, and the United Kingdom's Serious Fraud Office, among others, both in the United States and abroad.

Prior to joining Arnold & Porter LLP, Mr. Asner served as an Assistant United States Attorney for the Southern District of New York (2000-2009), where he was the Chief of the Major Crimes and Computer Hacking/Intellectual Property Unit for two years (2007-2009). At the US Attorney's Office, Mr. Asner managed more than 200 criminal investigations and prosecutions, conducted over 15 trials, 20 appeals, and numerous evidentiary hearings. As Chief, he supervised 15 to 20 Assistant United States Attorneys involved in complex financial investigations and prosecutions.

He has experience in the prosecution of individuals and organizations involved in environmental and wildlife crime and art and antiquities fraud, and served as the bankruptcy fraud coordinator for the Southern District of New York. In private practice, he has handled expedited litigation matters in Delaware Chancery Court, and has worked on key securities fraud and antitrust actions, as well as complex commercial, healthcare, trade secret, and patent litigation.

Mr. Asner received his JD, cum laude, from the University of Michigan Law School in 1992, where he was Executive Editor of the University of Michigan Journal of Law Reform; he received an MS in mathematics from the University of Michigan Rackham Graduate School; and an AB in physics, with honors, from the University of Chicago.

Mr. Asner clerked for the Honorable Walter K. Stapleton of the US Court of Appeals for the Third Circuit and the Honorable John Feikens of the US District Court for the Eastern District of Michigan.

Mr. Asner is a frequent speaker and panelist on FCPA, money laundering, identity theft, and other federal issues. Most recently, Mr. Asner was a guest speaker at the UK's Serious Fraud Office, lecturing on the US approach to cooperation and self reporting.

Practice Areas

White Collar Criminal Defense
Litigation
Intellectual Property
Financial Services
Foreign Corrupt Practices Act and Global Anti-Corruption (FCPA)
Securities Enforcement and Litigation
FDA and Healthcare
Environmental
Antitrust/Competition
Appellate and Supreme Court
Privacy

 
Education
JD, cum laude, University of Michigan Law School, 1992
MS in Mathematics, University of Michigan Rackham Graduate School, 1987
AB in Physics, with honors, University of Chicago, 1985
 

Admissions
New York
US District Court for the Southern District of New York
US Court of Appeals for the Second Circuit
US Court of Appeals for the Third Circuit
US District Court for the Eastern District of Michigan


Alan R. Glickman, a partner in the New York office, practices in the areas of complex commercial, securities, shareholder derivative, RICO, accountants' liability, intellectual property, real estate, class action defense, mergers & acquisitions, and bankruptcy and creditors' rights litigation. Recent significant cases include the defense of a former senior executive of Bear Stearns in class actions brought in the wake of the firm's collapse and acquisition (In re Bear Stearns Securities and Derivative Litigation), the defense of three investment banks against class action claims relating to alleged misstatements in connection with a securities offering (In re Intershop Communications AG Securities Litigation), and the defense of a major Olympic international sports federation in an antitrust litigation (WSF v. International Skating Union). Alan also has conducted numerous internal investigations, including on behalf of the boards of directors of a major pharmaceutical company and a major food wholesaler/distributor relating to alleged accounting improprieties.

In practice for almost 30 years, Alan is listed in Best Lawyers, the oldest peer-review publication in the legal profession, and New York Super Lawyers, which recognizes the top five percent of attorneys within the New York metro area. Alan received his B.A., cum laude, from Harvard University in 1977, and graduated from New York University School of Law, where he was editor of the Moot Court Board, in 1980.


David L. Kornblau is a partner in the New York office of Covington & Burling LLP.  A ten-year veteran of the SEC, he represents companies and individuals in securities enforcement investigations, securities litigation, and complex commercial litigation.

 Before joining Covington & Burling, Mr. Kornblau was a Managing Director and the Head of Global Regulatory Affairs at Merrill Lynch, where he oversaw the company’s responses to regulatory and law enforcement investigations by the SEC, DOJ, FINRA, New York Attorney General’s Office, and other federal, state, and foreign regulators.  These matters concerned all of the firm's business areas, including subprime mortgage securities, auction rate securities, information barriers, research analysts, retail brokers and supervision, institutional sales and trading, investment banking, pension consulting services, and municipal securities.

 Mr. Kornblau served as Chief Litigation Counsel for the SEC’s Division of Enforcement in Washington, D.C., from 2000 to 2005.  In that position, he led the Enforcement Division’s nationwide litigation practice during a period of large-scale corporate investigations and heightened enforcement activity, including cases against Enron, WorldCom, Arthur Andersen, Wall Street analysts, KPMG, Ernst & Young, and mutual fund companies.  He expanded the Washington trial unit by over fifty percent and created a collections unit that improved the tracking, collection, and distribution of SEC monetary recoveries.

 Before his promotion to Chief Litigation Counsel, Mr. Kornblau litigated and tried numerous enforcement actions in federal district court and before SEC Administrative Law Judges for five years.  His cases involved all Commission program areas, including financial fraud, insider trading, hedge funds, market manipulation, municipal securities, broker misconduct, registration violations, and offering fraud.  Mr. Kornblau also co-tried a criminal securities fraud case as a Special Assistant United States Attorney.

 Earlier in his career, Mr. Kornblau was a litigator at a prominent New York law firm, where he handled complex securities and commercial cases, including serving as a member of the team defending former Drexel Burnham Lambert trader Michael Milken in criminal, SEC, and civil litigation.

 Mr. Kornblau received an A.B. in physics, cum laude, from Princeton University in 1983.  He received his law degree, cum laude, in 1986 from Harvard Law School, where he was an editor of the Harvard Law Review.  He clerked for the Honorable Charles M. Merrill of the U.S. Court of Appeals for the Ninth Circuit, in San Francisco, from 1986 to 1987.  He has spoken numerous times on securities enforcement and broker-dealer issues.
 


Christopher L. Garcia is Co-Head of Weil’s global White Collar Defense, Regulatory and Investigations practice, where he focuses on defending companies and individuals in connection with regulatory and criminal investigations, conducting internal investigations, and litigating securities class actions in state and federal courts across the U.S. He also counsels boards of directors, executives, broker-dealers, and investment advisers on securities and corporate governance issues, and regulatory compliance, among other things. Mr. Garcia is also a member of the Firm’s Cybersecurity, Data Privacy & Information Management group.

Prior to joining Weil, Mr. Garcia was Chief of the Securities and Commodities Fraud Task Force in the US Attorney’s Office for the Southern District of New York. In this role, he led a unit of more than 35 prosecutors, law enforcement agents, and staff in all aspects of securities fraud investigations, trials, appeals, and other litigations. During his tenure, he supervised the investigation and prosecution of more than 300 cases, including matters arising out of the 2008 financial crisis and in areas of corporate fraud, consumer fraud, insider trading, fraudulent investment schemes, and the Foreign Corrupt Practices Act (FCPA). 

Mr. Garcia has obtained a number of awards from legal and business publications. The National Law Journal named him a White Collar, Regulatory & Compliance “Trailblazer” in 2018. He is also recognized as a “recommended” lawyer nationwide in the White Collar area by Legal 500, and is ranked as a Leading Lawyer for White Collar Crime & Government Investigations in New York by Chambers USA.

Mr. Garcia is a fixture in the academic and legal community. He is a regular speaker and writer on securities litigation, enforcement, and white collar topics, including cybersecurity, social media communications and related SEC disclosure issues, the FCPA and anti-corruption enforcement, and insider trading. He also has been featured in BloombergForbes, and Reuters, among other publications.

Mr. Garcia received his law degree from Harvard Law School, where he served as Senior Editor of the Journal of Law and Public Policy and as President of the Board of Student Advisers. He also received his A.B., magna cum laude, from Harvard College.

 


James Johnson is a litigation partner who focuses his practice on white collar criminal defense, internal investigations, corporate compliance and corporate crisis management in connection with internal investigations. Mr. Johnson is recognized as a leading lawyer in white collar criminal defense and is commended in The Legal 500 US (2007) for his ‘calm and methodical demeanor’ as well as his ‘clear sense of high ethics and morals’.

Most recently, Mr. Johnson was lead enforcement counsel for the team representing Toyota Motor Corporation and Toyota Motor Sales USA in connection with investigations into reports that drivers of certain models were experiencing unintended acceleration. The team resolved investigations being conducted by the U.S. Attorney’s Office for the Southern District of New York and the attorneys general for 29 states and American Samoa.

Mr. Johnson has the distinction of having held several senior positions in the United States Department of the Treasury, including Under Secretary of the Treasury for Enforcement (1998-2000) and Assistant Secretary of the Treasury for Enforcement (1996-1998). He oversaw the operations of the Bureau of Alcohol, Tobacco & Firearms, the Secret Service, the United States Customs Service, the Federal Law Enforcement Training Center, the Financial Crimes Enforcement Network and the Office of Foreign Assets Control. In total, Mr. Johnson oversaw approximately 29,000 employees and shared oversight of an operating budget exceeding $4.2 billion. Mr. Johnson also served as an Assistant U.S. Attorney for the Southern District of New York (1990-1996), where he rose to Deputy Chief of the Criminal Division (1993-1996). During his tenure in the Southern District, he assisted in the management of the Criminal Division while prosecuting a wide variety of criminal cases, and was detailed to the United States Department of the Treasury to serve on the White House Security Review.

Since returning to private practice, Mr. Johnson has represented individuals, audit committees and corporations in connection with a wide variety of regulatory, enforcement and Congressional matters, and has taken on several high profile public projects. He now serves as Monitor in U.S. ex rel. Anti-Discrimination Center of NY v. Westchester County. He also led Governor Corzine’s Advisory Committee on Police Standards.

Mr. Johnson has received numerous awards for his service and accomplishments in both private practice and public service. He is the recipient of the Alexander Hamilton Award (the Department of Treasury’s highest award, given to officials for excellence in service) and the Attorney General’s Certificate for Excellence in Prosecution. Mr. Johnson was recently elected as a member of the Harvard College Board of Overseers. He is former Chair of the Board of the Brennan Center for Justice and is also a trustee of the Montclair Art Museum.


John F. Savarese has been a partner in the litigation department of Wachtell, Lipton, Rosen & Katz for over 25 years.

Mr Savarese worked in the United States Attorneys' Office for the Southern District of New York, where he received the Attorney General's John Marshall Award for Outstanding Legal Achievement, and also served as Chief Appellate Attorney. 

Mr Savarese teaches a course on white-collar criminal law at Harvard Law School, serves on the executive committee of the New York City Bar Association, and is a member of the American Law Institute.  Mr Savarese is chairman of the Vera Institute of Justice in New York, a member of the Dean's Advisory Board at Harvard Law School, and a member of the board of the Lawyers' Committee for Civil Rights Under Law.

Mr Savarese graduated from Harvard University in 1977 and received his JD from Harvard Law School in 1981, where he was an editor of the Harvard Law Review.


Mei Lin Kwan-Gett is Citigroup’s Deputy General Counsel and Head of Global Litigation and Regulatory Investigations, where she supervises a worldwide litigation and investigations team.  Prior to joining Citigroup, Ms. Kwan-Gett was a partner at the law firm of Willkie Farr & Gallagher, LLP, where she was co-head of the firm’s white collar defense practice group and specialized in regulatory and enforcement matters, internal investigations, and complex commercial litigation.  Prior to joining Willkie Farr, Ms. Kwan-Gett worked at the U.S. Attorney’s Office for the Southern District of New York as Deputy Chief of the Criminal Division.  She also served as Special Investigative Counsel for the Office of the Inspector General for the U.S. Department of Justice.  She began her career as a Law Clerk in the U.S. Court of Appeals for the Second Circuit.

Ms. Kwan-Gett is a former Chair of the Board of Directors of the City Bar Fund and was a Vice President of the Association of the Bar of the City of New York, and she is a member of the Practising Law Institute’s Board of Trustees

Mei Lin earned her AB from Harvard College and her JD from Yale Law School.


Mike Delikat, a partner in the New York office, is the founder of the firm’s Whistleblower Task Force.

Chambers Global 2018 Guide lists Mike as one of only nine Band 1 ranked Labor and Employment attorneys in the United States. Under Mike's leadership as the Global Practice Group Leader for over twenty years, Orrick’s Employment Law & Litigation group was named Employment 360 Practice Group of the Year on multiple occasions including for 2018 and has received multiple other awards.             

He represents a broad range of major corporations with a focus on the financial services industry in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases. He is a leading lawyer representing companies in whistleblower matters and frequently is called on to conduct high level and sensitive internal investigations by boards of directors. He is the co-author of PLI's Corporate Whistleblowing in the Dodd-Frank/Sarbanes Oxley Era, the leading treatise on that subject. He also has an active practice advising companies and Boards of Directors on #Metoo investigations and gender pay equity litigation and strategy responding to shareholder proposals.


Nancy Kestenbaum, a partner in Covington's New York office, is Co-Chair of Covington’s White Collar Defense and Investigations Practice Group. She represents companies, boards of directors and individuals in a variety of white collar criminal, SEC and regulatory enforcement matters and internal investigations.  Ms. Kestenbaum has extensive experience representing clients in the financial services, life sciences, energy, defense, consumer products and technology industries.  

Ms. Kestenbaum is also widely recognized as a leading expert involving claims of sexual misconduct.   For example, she is currently conducting an independent investigation for the Board of Directors of CBS Corporation and represents the United States Olympic Committee; Ms. Kestenbaum previously conducted independent investigations for Choate Rosemary Hall, the Brearley School, and other institutions.

Before joining Covington, Ms. Kestenbaum served for nine years as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where she investigated and prosecuted numerous cases including securities fraud, tax offenses, bank fraud, money laundering, obstruction of justice, civil rights violations, bribery and perjury, and served as Chief of the General Crimes Unit and Deputy Chief of the Criminal Division, where she supervised and trained dozens of other prosecutors.

 


Nicolas Bourtin is a litigation partner and the Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white collar criminal defense and internal investigations, regulatory enforcement matters, and securities and complex civil litigation. He is one of the coordinators of S&C’s FCPA and Anti-Corruption practice group.

Mr. Bourtin has represented individuals, corporations and financial institutions in numerous high-profile matters involving accounting fraud, antitrust, FIRREA, the FCPA, insider trading, money laundering, mortgage orientation and servicing, OFAC sanctions, securities fraud, tax fraud, and trading. He has extensive experience representing financial institutions in parallel regulatory and criminal investigations and representing non-U.S. companies and individuals in connection with U.S. investigations.

Mr. Bourtin has conducted numerous jury trials and has argued frequently before the U.S. Court of Appeals for the Second Circuit.

He is frequently recognized as a leading practitioner in the area of white collar criminal defense.

Mr. Bourtin also serves, on a pro bono basis, on the Criminal Justice Act panel for the Eastern District of New York, representing indigent defendants in federal criminal proceedings.

Prior to joining S&C, Mr. Bourtin served for four years as an assistant U.S. attorney in the Eastern District of New York, where he was involved in investigations, prosecutions and trials involving fraud, corruption, money laundering and other white collar offenses.

In addition, Mr. Bourtin successfully prosecuted the bosses and senior leadership of three of the five New York City-based Italian mafia families for crimes such as murder, racketeering, extortion, loansharking and narcotics trafficking. In total, Mr. Bourtin convicted over 75 members and associates of La Cosa Nostra and was involved in several historic prosecutions, including the first death penalty-eligible murder indictments of Italian mafia bosses in modern history.

Mr. Bourtin also coordinated the Eastern District U.S. Attorney’s Office’s cooperation with the Italian government on matters involving organized crime and led several successful collaborative efforts with the Italian Ministry of Justice, National Antimafia Bureau, National Police, Carabinieri and Guardia di Finanza.


Samuel J. Winer is a partner in the Washington, D.C. office of Foley & Lardner, specializing in the representation of public companies, board members, senior executives, auditors, and financial services firms before the SEC and other regulators.

Sandy graduated from Boston University School of Law in 1974, where he served as an editor in the law review.  After graduation, he served as a law clerk to the Chief Justice of the Supreme Court of Rhode Island and as special counsel in the Division of Enforcement of the SEC before going into private practice.  Sandy has been a partner at Foley since 1995.

Mr. Winer has also been selected by his peers to be included in The Best Lawyers in America© since 2006 and was named the Washington, D.C. Securities/Capital Markets Law Lawyer of the Year by Best Lawyers® in 2015 and the Washington, D.C. Litigation – Securities Lawyer of the Year in 2017.  He was rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2009-2017 and one of the top regionally in the District of Columbia for 2007, 2008, and 2009.  Mr. Winer was selected for inclusion in the Washington, D.C. SuperLawyers® lists for 2008-2017.


Co-chair of the Securities Litigation and Enforcement Group at Paul, Weiss, Rifkind, Wharton & Garrison LLP, Daniel J. Kramer is a leading trial lawyer and litigator.  Called “one of the stars of his generation” by Chambers USA and a “quiet giant” by Lawdragon, Dan has handled complex litigations for some of the world’s largest companies and has significant experience representing boards of directors on corporate governance issues and special committees in internal investigations.  Recent matters have included representation of SAC Capital in litigation and investigations arising out of claims of insider trading; UBS in connection with the Detroit bankruptcy; Bank of America in litigations concerning its merger with Merrill Lynch; AIG in litigation with its former chairman Hank Greenberg; and Merck in litigation involving its cholesterol lowering drug Vytorin.

In 2014, Paul Weiss’ Securities Litigation and Enforcement Group was named Litigation Department of the Year by The American Lawyer, which called the practice “big, powerful and swaggering,” noting that “no other firm matched the number and magnitude of headline making securities litigation.”  Similarly, Chambers routinely ranks the Securities Litigation Department in Band 1, stating that the Group has “a truly enviable securities litigation practice,” a “dazzlingly deep bench” and “some of the most cutting-edge securities cases.”  And Legal 500 consistently gives the Group its highest rating, noting that “its excellent, wise counselors combine deep legal knowledge with a practical and business-like view.”

Mr. Kramer has been selected as a Band 1 securities lawyer in the United States by Chambers, as one of America’s leading lawyers handling “Bet the Company” litigation by Best Lawyers in America, as one of “New York’s Top 10 Lawyers” by Super Lawyers, as one of the “500 leading lawyers in America” by Lawdragon and as “one of the most influential people in corporate governance and the boardroom” by Directorship Magazine.  He is the co-editor of Corporate Internal Investigations: An International Guide (Oxford University Press) and co-author of Federal Securities Litigation: A Deskbook for the Practitioner (Data Press) and of Regulation of Market Manipulation (Matthew Bender).

PRACTICES
Corporate Governance
Financial Institutions
General Commercial Litigation
Internal Investigations
Litigation
Securities Litigation
White Collar Crime & Regulatory Defense

EDUCATION
J.D., New York University School of Law

B.A., Wesleyan University
magna cum laude

CLERKSHIP
Hon. Wilfred Feinberg, Chief Judge, U.S. Court of Appeals, Second Circuit

RECOGNITIONS
Benchmark Litigation, “Local Litigation Star: New York”

The Best Lawyers in America, “Bet-the-Company Litigation”

Chambers USA, Band 1 for Securities Litigation (Nationwide and in New York)

Directorship Magazine, “100 Most Influential People in Corporate Governance”

Lawdragon, “500 Leading Lawyers in America”

The Legal 500

Super Lawyers, “New York’s Top 10 Lawyers”


Elaine H. Mandelbaum was most recently General Counsel of Litigation and Regulatory Investigations of Citigroup’s Institutional Clients Group (ICG). She and her group were responsible for all litigation, arbitrations, internal investigations and regulatory inquiries and related investigations, sweeps and enforcement proceedings for Citigroup’s institutional businesses, including corporate and investment banking, sales and trading, capital markets origination, securities services, trade and treasury services and private banking.  Elaine also was a member of the Global ICG Legal Management Committee. Prior to starting at Citigroup in 1997, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison.

Elaine is the current President of the SIFMA Compliance & Legal Society, and has served on the SIFMA C&L’s Executive Committee for over a decade. Elaine was previously Vice Chair of the FINRA National Adjudicatory Council, the appellate body for decisions rendered in FINRA disciplinary and membership proceedings. Elaine serves on the Board of Directors of the Legal Action Center and of the National Council of Jewish Women, and was the recipient of the 2015 “Woman Who Dared” Award from the NCJW.

Elaine is a frequent speaker at PLI, SIFMA and other industry conferences on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry. She is an honors graduate of Yale College and of Harvard Law School.


Mr. Riesenberg is the Director of Legal and Regulatory Policy at SASB. He is the former Deputy General Counsel of Ernst & Young LLP responsible for regulatory matters, primarily involving the U.S. Securities and Exchange Commission and the Public Company Accounting Oversight Board. Mr. Riesenberg worked at EY from 1993 to 2013 where he was extensively involved in the major legislative and regulatory developments affecting the accounting profession. Previously he served for seven years as an Assistant General Counsel at the SEC, where he handled courts of appeals and Supreme Court litigation and international legal matters. He was the recipient of the Manuel F. Cohen Outstanding SEC Younger Attorney Award in recognition of his handling of several significant SEC enforcement cases. He also worked as a law clerk for a federal district court judge in Washington, D.C., as a litigator at the U.S. Department of Justice Lands and Natural Resources Division, and as an associate at the law firm of Arnold & Porter in Washington, D.C.

Mr. Riesenberg graduated from the New York University School of Law, where he was a member of the Law Review, a Root-Tilden Scholar, and recipient of the George P. Foulk Memorial Award.  He received a bachelor’s degree from Oberlin College, where he graduated with honors and was elected to Phi Beta Kappa. He is a former chair of the Law and Accounting Committee of the American Bar Association, former president of the Association of SEC Alumni, former treasurer of the SEC Historical Society, and a current member of the Advisory Board of the BNA Securities Regulation and Law Report. For seven years he was an adjunct professor of securities law at the Georgetown University Law Center.


Ms. Beamon, a partner in Davis Polk’s Litigation Department and a former federal prosecutor, has successfully represented individuals and institutions in their most critical situations.

Her matters have included grand jury, regulatory and independent investigations, representing companies, board of directors and individuals in connection with allegations of sexual misconduct, securities fraud, criminal tax violations, foreign corrupt practices, anti-money laundering and pharmaceutical marketing violations, among other areas. Her complex civil matters have involved allegations under the False Claims Act, consumer protection and whistleblower provisions, and other state and federal statutes.

Ms. Beamon also has participated in a number of confidential internal investigations on behalf of clients and has advised corporations and boards of directors on matters of corporate governance and compliance. In addition, the FBI requested that she train its agents on insider trading.

Ms. Beamon served as an Assistant U.S. Attorney for the U.S. Attorney’s Office, Southern District of New York, where she conducted numerous investigations and criminal trials.

Because of the nature of Ms. Beamon's assignments, many of her most successful matters have not resulted in public charges and remain confidential.

Ms. Beamon received her J.D., summa cum laude, from University of Pittsburgh School of Law and her B.A., with honors, from University of Notre Dame.


George S. Canellos is a partner in the law firm of Milbank Tweed Hadley & McCloy LLP and heads its litigation department.  In 2014, Mr. Canellos rejoined Milbank, where he had been a litigation partner from 2003 to 2009.  Until January 2014, Mr. Canellos served as Co-Director of the Securities and Exchange Commission’s Division of Enforcement.  He earlier served as the Division’s Acting Director and Deputy Director.  In these positions, Mr. Canellos was responsible for supervising the SEC’s nationwide enforcement efforts.  From July 2009 until May 2012, Mr. Canellos was Director of the SEC's New York Regional Office, which has responsibility for oversight of many of the leading broker-dealers, investment advisers, and other SEC-registered financial institutions. Mr. Canellos began his career as an associate at Wachtell, Lipton, Rosen & Katz. In 1994, he became an Assistant United States Attorney in the Southern District of New York.  During almost nine years at the U.S. Attorney's Office, Mr. Canellos held a number of positions, including Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Unit, and Deputy Chief Appellate Attorney. Mr. Canellos is a graduate of Harvard College and Columbia University School of Law.


Sung-Hee Suh is the Deputy Assistant Attorney General overseeing the Fraud, Appellate and Capital Case Sections in the Criminal Division of the U.S. Department of Justice.  Her responsibilities include supervising cases involving the Foreign Corrupt Practices Act (“FCPA”), securities and commodities fraud, health care fraud and government program fraud, as well as formulating federal enforcement policies on white-collar crime and coordinating interagency, multi-district and international law enforcement efforts.  Ms. Suh re-joined the Justice Department in September 2014 following 15 years at the New York law firm of Schulte Roth & Zabel LLP, where she was a partner in the Litigation Group and handled numerous securities and commodities fraud, FCPA, Bank Secrecy Act, anti-money laundering and economic sanctions matters.  She previously served as an Assistant U.S. Attorney in the Eastern District of New York, including as Deputy Chief of the Organized Crime and Racketeering Section.  She graduated from Harvard College, Harvard Graduate School of Arts and Sciences, and Harvard Law School.