Skip to main content

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2021


Speaker(s): Andrew Stemmer, Anne Murray, Bill Maguire, Christopher Davies, Ellen Burns, F. Joseph Warin, Jane Norberg, Jordan A. Thomas, Joseph K. Brenner, Lisa Adkins, Lyle Roberts, Peter Isajiw, Randall J. Baron, Robert Stern, Sam Pailca, Sarah Green, Suzanne C. Libby, William B. Jacobson
Recorded on: Sep. 2, 2021
PLI Program #: 305456

Andrew Stemmer is Deutsche Bank’s Head of Litigation & Regulatory Enforcement for the Americas, and a Managing Director and Associate General Counsel. Andrew has been at Deutsche Bank since 2013, prior to which he was associated with the law firm Cadwalader Wickersham & Taft LLP, where he focused on securities, complex commercial disputes and bankruptcy.


Anne is a member of Orrick’s white collar, investigations, and compliance practice group. Anne counsels clients on ethics, fraud, and corruption issues.  She regularly conducts internal investigations and defends companies and individuals in government investigations before the U.S. Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), and other government agencies. She also conducts internal investigations and risk assessments; performs pre-acquisition anti-corruption diligence; counsels companies and individuals about compliance issues; and develops corporate compliance programs, policies, procedures and training models.

Anne has extensive experience in matters involving corruption and fraud, with a particular focus on the Foreign Corrupt Practices Act (FCPA). She has represented multinational corporations across the aerospace, communications, defense, financial services, health care, hospitality and tourism, mining, oil and gas, technology, security, and shipping industries. She also has led investigations and compliance reviews throughout the Americas, Europe, Asia, Africa and Australia, with on-the-ground experience in more than 16 countries including Brazil, China and Mexico.

Anne sits on the Firm’s Management Committee.


Bill is Chair of the Trial Practice at Hughes Hubbard in New York City.

Bill serves as lead trial counsel in complex cases, such as the trial arising from the $7.3 billion sale of Nortel Networks, and the trial arising from the acquisition of Lehman Bros. investment banking business (a $7.5 billion dispute), as well as trials of wrongful death and personal injury claims against product manufacturers in state and federal courts.

His courtroom experience includes injunction proceedings involving Wendy's $4 billion spin off of Tim Horton's, and litigation of claims arising from financial frauds such as Madoff (over $7 billion claims), and National Century Financial Enterprises ($4 billion claims), and includes securities, products personal injury, business, and civil rights actions, commercial arbitrations, and regulatory proceedings against firms and professionals.


Billy focuses his practice on FCPA and white collar enforcement, representing corporates, individuals, and financial institutions. Billy has over 25 years of experience, having served as the Chief Compliance Officer and Co-General Counsel of a global oilfield services company, as a federal prosecutor -- including as Assistant Chief for FCPA Enforcement in DOJ’s Fraud Section, and in private practice. Billy’s expertise both in corporate compliance and corporate criminal defense is a rare combination that serves clients well.

Billy’s practice currently includes the representation of a large international engineering and construction company being investigated for FCPA and UK Bribery Act violations by the DOJ, SEC and UK SFO; the representation of companies facing potential sanctions by the World Bank; serving as compliance counsel for several companies and private equity firms; the representation of individuals in connection with the VW emissions investigation cases; and the representation of several individuals in various FCPA investigations.

Billy recently completed the monitorship of Braskem SA, a large multi-national petrochemical company based in Brazil that settled enforcement actions in 2016. He was appointed as an independent compliance monitor by the DOJ, SEC and the Brazilian MPF. That monitorship concluded successfully and on schedule.

Billy is considered a thought leader in the industry, having spoken extensively on compliance and investigation topics. Billy is widely recognized as a leading FCPA and compliance lawyer, having been ranked by Chambers USA in both the FCPA: Nationwide (USA) and Litigation: White-Collar Crime & Government Investigations (D.C.) categories. According to Chambers USA, clients say Billy has “impressive experience both as in-house counsel and as a government prosecutor, and advises on compliance programs and regulatory investigations.” Another source highlights "the wealth of knowledge he brings to the table," noting: "There's nothing he hasn't seen, and he has the ability to get to the heart of a matter." In 2021, Billy was named by Global Investigation Review (GIR) as one of the 30 Top FCPA Practitioners, among leading lawyers and forensic advisers in the FCPA space.


Ellen Burns is Associate General Counsel in Deloitte’s Office of the General Counsel.  Ellen has been practicing in the areas of audit liability defense, regulatory enforcement defense, audit consultations and risk management for over ten years.  Prior to law school, Ellen practiced as a CPA at Price Waterhouse (PwC) and Arthur Andersen and was Director of Internal Controls at a large health insurance company.  Ellen has a B.S. from Cornell University and J.D. from Notre Dame Law School.


F. Joseph Warin is chair of the 200-person Litigation Department of Gibson Dunn’s Washington, D.C. office, and he is co-chair of the firm’s global White Collar Defense and Investigations Practice Group. Mr. Warin’s practice includes representation of corporations in complex civil litigation, white collar crime, and regulatory and securities enforcement – including Foreign Corrupt Practices Act investigations, False Claims Act cases, special committee representations, compliance counseling and class action civil litigation.

Mr. Warin is continually recognized annually in the top-tier by Chambers USAChambers Global, and Chambers Latin America for his FCPA, fraud and corporate investigations expertise.

Mr. Warin’s group was recognized by Global Investigations Review in 2020 as the leading global investigations law firm in the world.  This is the fifth time in six years to be so named. Global Investigations Review reported that Mr. Warin has now advised on more FCPA resolutions than any other lawyer since 2008. In 2016 Who’s Who Legal and Global Investigations Review named Mr. Warin to their list of World’s Ten-Most Highly Regarded Investigations Lawyers based on a survey of clients and peers, noting that he was one of the “most highly nominated practitioners,” and a “’favourite’ of audit and special committees of public companies.” Best Lawyers® named Mr. Warin the Lawyer of the Year in 2020 and in 2016 for White Collar Criminal Defense in the District of Columbia, and he was named among the Lawdragon 500 Leading Lawyers in America in 2020.

Mr. Warin has handled cases and investigations in more than 40 states and dozens of countries. His clients include corporations, officers, directors and professionals in regulatory, investigative and trials involving federal regulatory inquiries, criminal investigations and cross-border inquiries by dozens of international enforcers, including UK’s SFO and FCA, and government regulators in Germany, Switzerland, Hong Kong, and the Middle East. His credibility at DOJ and the SEC is unsurpassed among private practitioners – a reputation based in large part on his experience as the only person ever to serve as a compliance monitor or counsel to the compliance monitor in three separate FCPA monitorships, pursuant to settlements with the SEC and DOJ: Statoil ASA (2007-2009); Siemens AG (2009-2012); and Alliance One International (2011-2013). He has been hired by audit committees or special committees of public companies to conduct investigations into allegations of wrongdoing in a wide variety of industries including energy, oil services, financial services, healthcare and telecommunications.

Mr. Warin’s civil practice includes representation of clients in complex litigation in federal courts and international arbitrations. He has tried 10b-5 securities and RICO claim lawsuits, hostile takeovers and commercial disputes. He has handled more than 40 class action cases across the United States for investment banking firms, global corporations, Big 4 accounting firms, broker-dealers and hedge funds.


Jane Norberg is a Partner in the Securities Enforcement & Litigation Practice at Arnold & Porter.  Jane brings to her practice extensive experience as Chief of the Office of the Whistleblower of the Securities and Exchange Commission, having helped build and develop the SEC’s whistleblower program since near its inception.  Under Jane’s leadership, the SEC received record numbers of whistleblower tips and paid out record breaking awards.

Jane’s practice at Arnold & Porter focuses on advising clients on all aspects of whistleblower matters. This includes helping companies navigate complexities related to whistleblower reports and issues of all kinds; counseling companies on best practices for handling internal whistleblower reports; proactively assessing and mitigating risk; conferring with respect to emerging whistleblower issues; internal and external investigations; advising on best practices related to retaliation and impeding reporting to regulators; assisting the company in its response and defense to specific whistleblower allegations; and providing crisis management to mitigate reputational risk.

During her tenure at SEC, Jane advised the SEC Chairman and the Director of the Division of Enforcement on emerging whistleblower issues and the development of rulemaking and policies, as well as reported to Congress regarding the program’s activities and advised them on whistleblower matters. She joined the Securities and Exchange Commission in 2012 as Deputy Chief of the Office and was appointed to Chief in 2016.

Under her leadership, Jane managed an expansion of the Office’s staff and oversaw a record-breaking growth in the number of whistleblower tips received and awards issued to whistleblowers under the program. Jane has extensive experience and knowledge regarding whistleblower retaliation and agreements that impede reporting in violation of Exchange Act Rule 21F-17, having directly advised on all whistleblower protection cases brought by the SEC during her tenure. Jane had a substantial advisory role related to the amendments to the SEC’s whistleblower rules, and has conferred with and advised other domestic and international regulators related to the development of new whistleblower programs.  Jane also co-led a diversity and inclusion initiative across the SEC Division of Enforcement.

Jane is a sought after speaker and subject matter expert with respect to whistleblower-related issues and speaks regularly on the topic.

 


Lisa Adkins is the Senior Vice President of Compliance, Audit, and Privacy for the University of Maryland Medical System (UMMS), a university-based regional health care system with 13 hospitals and more than 29,000 employees.  She has been in this role since April 2020.  Lisa is responsible for planning, implementing and maintaining an effective compliance and ethics program at UMMS. She monitors and reports results of compliance efforts across the institution and provides guidance to executive management regarding compliance issues and requirements, including conflicts of interest, internal audit, billing/coding, and breach assessment and reporting.

Previously, Lisa spent 10 years with Kaiser Permanente, serving in various roles, progressing in responsibility throughout her career at Kaiser Permanente.  Lisa last served as the Regional Compliance Officer for Kaiser Foundation Health Plan of the Mid-Atlantic States, a region encompassing Maryland, the District of Columbia and Virginia and serving more than 750,000 members.  In collaboration with leadership across the organization, she led the development of strategies to embed compliance and ethics into the core design and operations of the organization, and in fostering a work environment where employees and physicians do the right thing to protect members and patients. 

Lisa is an accomplished healthcare compliance expert with 30 years of professional experience in acute care hospitals, integrated healthcare delivery systems and health plans.  She is a licensed attorney and registered nurse.  Lisa has broad business and clinical process acumen in addition to a compliance background.

With a bachelor of science in nursing from Kent State University, Lisa practiced nursing for over six years at the Johns Hopkins Health System and after earning her law degree, she began a career in risk management and patient safety at the University of Maryland Medical System. She also served as an adjunct faculty member of the Johns Hopkins University School of Nursing for five years. She subsequently went into private practice, defending complex medical malpractice claims on behalf of physicians, hospitals, nurses and other health care providers throughout Maryland and the District of Columbia, and conducting compliance internal investigations, and regulatory compliance for several health systems in Maryland.


Lyle Roberts is a partner in the firm’s Litigation practice. Lyle represents companies, officers, and directors in securities cases and Securities and Exchange Commission (SEC) enforcement matters throughout the United States. He also conducts corporate internal investigations and counsels clients with respect to securities regulatory issues. Lyle represented Mark Cuban in obtaining a complete victory against the SEC in Cuban’s closely watched insider trading case. Lyle also has represented a number of prominent companies in the defense of securities class actions, including Northrop Grumman, Fidelity National Financial, CenturyLink, and Lumber Liquidators.

Lyle is recognized as a Band 1 securities litigator by Chambers USA and a “Local Litigation Star” by Benchmark Litigation. He is widely-published on securities law issues, including in the Wall Street Journal, Forbes, National Law Journal, and Law360. Lyle also is the author of the well-known blog, The 10b-5 Daily, which tracks key developments in securities litigation and is the co-chairman of the annual Practicing Law Institute securities litigation program. Lyle frequently submits amicus briefs in prominent securities litigation cases on behalf of clients, including recent briefs in the U.S. Supreme Court on behalf of the Washington Legal Foundation in the Goldman Sachs, Emulex, Halliburton, and ANZ Securities cases and SIFMA and the Chamber of Commerce of the United States of America in the Matrixx case.


Mr. Brenner was Chief Counsel of the SEC’s Enforcement Division from January 2011 through August 2021. He also is Adjunct Professor at the Columbus School of Law, Catholic University of America.

Prior to joining the SEC, he was a partner at Wilmer Cutler Pickering Hale and Dorr LLP. At WilmerHale, he was Vice-Chair of the firm’s Securities Department, and his practice focused on securities enforcement, related civil and criminal litigation, and internal corporate investigations.

Mr. Brenner served as a Court Law Clerk for the U.S. Court of Appeals for the District of Columbia Circuit. He graduated from Georgetown University Law Center, and received his undergraduate degree from Cornell University.


Peter Isajiw is a partner in King & Spalding’s Trial and Global Disputes group in New York. Peter focuses on complex commercial and securities litigation, as well as regulatory investigations. He represents corporations, financial institutions, directors, officers, and other individuals in high-stakes litigation involving business disputes, securities laws and regulations, transactional litigation, fraud, breach of contract, corporate governance, and the fiduciary obligations of corporate directors. He also assists clients with regulatory enforcement matters and government investigations.

Peter has been recognized by Legal 500 U.S. as a Key Individual for securities and shareholder litigation and has received the publication's Recognition of Excellence. Super Lawyers has listed him as a top-rated business litigation attorney in its New York Metro edition each year since 2014. Both the New York Law Journal and Super Lawyers named him as a Rising Star in 2013.


Randall Baron is a partner in Robbins Geller’s San Diego office. He specializes in securities litigation, corporate takeover litigation, and breach of fiduciary duty actions. For almost two decades, Mr. Baron has headed up a team of lawyers whose accomplishments include obtaining instrumental rulings both at injunction and trial phases, and establishing liability of financial advisors and investment banks. With an in-depth understanding of merger and acquisition and breach of fiduciary duty law, an ability to work under extreme time pressures, and the experience and willingness to take a case through trial, he has been responsible for recovering more than a billion dollars for shareholders. 

Notable achievements include In re Del Monte Foods Co. S’holders Litig. (Del. Ch.), where he exposed the unseemly practice by investment bankers of participating on both sides of large merger and acquisition transactions and ultimately secured an $89 million settlement for shareholders of Del Monte. Most recently, Mr. Baron successfully obtained a partial settlement of $60 million in In re Tesla Motors, Inc. S’holder Litig., a case that alleged that the members of the Tesla Board of Directors breached their fiduciary duties, unjustly enriched themselves, and wasted corporate assets in connection with their approval of Tesla’s acquisition of SolarCity Corp. in 2016.

Formerly, Mr. Baron served as a Deputy District Attorney in Los Angeles County. From 1990-1997, he was a trial deputy in numerous offices throughout Los Angeles County, where he tried over 70 felony cases. From 1994-1997, Mr. Baron was part of the Special Investigation Division of the Los Angeles District Attorney’s office, where he investigated and prosecuted public corruption cases. He also teaches merger and acquisition litigation at Columbia Law School and frequently guest lectures at law schools throughout the country, including Stanford Law School and Harvard Law School.

Mr. Baron has received numerous accolades, including the Distinguished certification by Martindale-Hubbell. He has also been named a Leading Lawyer by Chambers USA, and Attorney of the Year by California Lawyer. In addition, he has been named a Litigation Star, State Litigation Star, California Star, National Practice Area Star, and Local Litigation Star by Benchmark Litigation. Mr. Baron earned a Bachelor of Arts degree from the University of Colorado at Boulder and a Juris Doctor degree from the University of San Diego School of Law, graduating cum laude.


SARAH D. GREEN is the Global Head of Financial Crimes Officer for Vanguard Group, Inc. She joined Vanguard in December 2017 and leads compliance teams responsible for Vanguard’s anti-money laundering (AML), trade surveillance, anti-bribery and corruption and sanctions programs. She worked previously as the Senior Director for AML Compliance at FINRA, where she supervised FINRA’s dedicated AML examination unit and coordinated FINRA’s AML enforcement cases.  Ms. Green was also responsible for FINRA AML guidance and external training of financial industry professionals domestically and internationally, and she represented FINRA on the Bank Secrecy Act Advisory Group. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U.S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of suspicious activity reports (SARs) and worked with Enforcement staff on AML matters. Prior to joining OMI, Ms. Green was a branch chief in the Office of Compliance Inspections and Examination at the SEC, managing the Commission’s AML examination program for broker-dealers, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Prior to joining the SEC, Sarah was an associate attorney in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Sarah received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.


A principal architect of the SEC Whistleblower Program, in 2011, Jordan Thomas established the nation’s first whistleblower practice exclusively focused on violations of the federal securities laws.  Both a pioneer and recognized leader in the field, Jordan has been profiled in The New York Times and on NPR.  His clients have secured precedent-setting whistleblower awards and have launched many of the SEC’s most high-profile cases.

To date, his clients won the largest single-case SEC whistleblower award in history, more than $83 million for reporting misconduct at Merrill Lynch, which led to its $415 million settlement with the Commission.  In addition to significant monetary recoveries, among his many landmark cases, he successfully represented the first officer of a public company to win an SEC whistleblower award, the first SEC whistleblower to receive criminal immunity, and the first SEC whistleblower to receive a whistleblower award because his company retaliated against him.  The pipeline is robust, including what will likely be another top SEC whistleblower award in connection with the $267 million SEC enforcement action against JPMorgan.

A longtime public servant and seasoned trial lawyer, Jordan joined Labaton Sucharow from the Securities and Exchange Commission where he served as an Assistant Director, and previously, as an Assistant Chief Litigation Counsel in the Division of Enforcement.  He had a leadership role in the development of the SEC Whistleblower Program, including leading fact-finding visits to other federal agencies with whistleblower programs, drafting the proposed legislation and implementing rules, and briefing House and Senate staffs on the proposed legislation.  Throughout his tenure at the SEC, where he investigated, litigated, and supervised a wide variety of enforcement matters, Jordan was assigned to many of its highest-profile actions such as those involving Enron, Fannie Mae, UBS, and Citigroup.  His SEC enforcement cases have resulted in monetary sanctions and relief for harmed investors in excess of $35 billion.

Prior to joining the Commission, Jordan was a Trial Attorney at the Department of Justice where he specialized in complex financial services litigation involving the FDIC and Office of Thrift Supervision.  He began his legal career as a Navy Judge Advocate on active duty and recently retired as a Captain in its Reserve Law Program.  While in law school, he worked as a stockbroker.

Jordan served as the Chair of the Investor Rights Committee of the District of Columbia Bar and a board member of the City Bar Fund, the pro bono affiliate of the Association of the Bar of the City of New York.

Jordan is a nationally sought after writer, speaker, and media commentator on securities enforcement, corporate ethics, and whistleblower issues.

Jordan understands the importance of the anonymity of his clients. With this in mind, Jordan gives clients the option to communicate through secure and encrypted applications such as Signal, Telegram, and WhatsApp.

He is admitted to practice in the District of Columbia and the states of Connecticut, New Mexico, New York, and Virginia.


Christopher Davies has more than 20 years' experience representing clients around the world in challenging circumstances. He has experience in complex civil, criminal and administrative matters, often involving crisis management.

In just the past year, Mr. Davies has represented, among others: a global energy trading company in parallel DOJ and CFTC investigations concerning alleged corruption and market manipulation; Indian auditors in US regulatory inquiries; a UAE entity in investigations and litigation arising from the failure of the largest private equity firm in the Middle East; media entities sued in Florida for supposed violations of Helms-Burton; a Greek auditor in investigations and litigation concerning a fraud perpetrated by a Greek marine fuel company; an Israeli entity sued in a US class action; a US mass mailing co-op in a DOJ consumer fraud investigation; a London-based multinational in a US anticorruption investigation; and PRC-based auditors in SEC investigations.

Mr. Davies has extensive international experience and has represented non-US-based entities based in Asia, the Caribbean, Europe, the Middle East, and South America in both US and non-US proceedings.

Mr. Davies has represented clients before federal and state regulatory and law enforcement agencies, including the Commodity Futures Trading Commission, the Public Company Accounting Oversight Board, the Securities and Exchange Commission, multiple US Attorneys' Offices and Main Justice. Investigations have concerned allegations of: securities, accounting, tax and other frauds; insider trading; corrupt payments; financial reporting and disclosure improprieties; noncompliance with professional and regulatory standards; environmental crimes; pretexting; anti–money laundering violations; and discriminatory conduct.

Mr. Davies has led and participated in internal investigations concerning: improper document destruction; misrepresentations; obstruction of government inquiries; potential corrupt payments; misappropriation of assets; misvaluation of securities and investments; discriminatory conduct and harassment; financial and tax fraud; non-compliance with legal and regulatory obligations; and insider trading.

Mr. Davies has litigated cases in federal and state trial and appellate courts, including the Supreme Court. He has also advised clients on civil, administrative and criminal litigation in non-US jurisdictions. Matters have included: securities fraud, derivative actions, breaches of contract, unfair competition and other business torts; False Claims Act violations; discriminatory conduct; violations of professional standards; and breaches of duty.

Mr. Davies counsels clients on: cross-border discovery, privilege matters, compliance and other risk management policies and practices, audit and accounting matters, document retention protocols and practices, and regulatory and risk management questions.

Mr. Davies has served as outside general counsel to a Washington DC–area private school for more than 15 years; represents indigent defendants in state criminal appeals; has recovered assets stolen from a nonprofit mental healthcare provider through litigation in DC courts; has represented a nonprofit healthcare entity in private litigation and in a suit against the DC government; has sued Richmond for pervasive noncompliance with the Americans with Disabilities Act in its schools; has served as Complaint Examiner for DC Police Complaints Board; and has advised the National Association of Criminal Defense Lawyers and filed briefs on its behalf concerning right to counsel and due process, expert testimony in financial fraud cases, attorney-client privilege and structuring.


In her current role as Associate General Counsel and Director of the Office of Legal Compliance (OLC), Ms. Pailca leads the global Business Conduct compliance program for the Microsoft Corporation. OLC (1) directs high-risk compliance investigations, (2) manages US Gov’t Contracting Compliance, (3) advises on anti-corruption remediation and control design, (4) directs compliance data and analytics programs, and (5) manages mandatory reporting to the Audit Committee of the Board of Directors and external auditors.

Prior to joining Microsoft in 2007, Ms. Pailca was appointed and served two three-year terms as the Director of the Office of Professional (now “Police”) Accountability for the City of Seattle, an appointed role overseeing internal investigations of the Seattle Police Department. Before that, she was a Senior Deputy Prosecutor in the Office of the King County Prosecuting Attorney leading the Labor and Employment Division, where she advised and defended three branches of county government, including the defense of employment class-action litigation and in arguments before the 9th Circuit. 

Ms. Pailca has over 25 years of hands-on experience advising, creating, and directing compliance and ethics programs in both large government agencies and a multi-national corporation.

She has written, consulted, and lectured extensively on:

  • Internal investigation program design and management
  • Conducting internal, EEO, and administrative investigations
  • Effective corporate compliance program design and management
  • Police accountability program design and function
  • How to learn from investigation data
  • Feedback loops: Detection + Remediation = Prevention
  • Building a culture of ethics and accountability
  • Protection of whistleblowers
  • Cognitive Bias in Internal Investigations

Sam is a board member of ACLU-Washington, and a past member of the Boards of the Seattle Children’s Theater and of NACOLE (National Association of Civilian Oversight of Law Enforcement).

She also serves as an Adviser on the American Law Institute’s Principles of the Law, Policing Project; Chair and Commissioner on Civil Service Commissions for King County; served six years as a member of the Civil Service Commission for the City of Seattle; and was Co-Chair of the King County Executive’s Inquest Review Task Force.

Ms. Pailca received her law degree from the University of Washington in 1989, cum laude, and a B.A. in Political Science and Public Policy in 1986 from Washington State University, Phi Beta Kappa.


Rob Stern is the Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group and a nationally recognized securities litigator by both Chambers USA (Band 1) and Legal 500 (Leading Lawyer).

Rob has a demonstrated track record of achieving outstanding results for financial services institutions, Fortune 100 companies, officers and directors of public companies and accounting firms. Rob's mastery of the field enables him to develop creative litigation strategies and business solutions for his clients in a broad array of situations.

For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters. Rob has litigated dozens of securities and commodities class actions and the parallel SEC, CFTC, PCAOB and/or criminal enforcement matters that accompany them. Rob has also tried numerous FINRA, AAA and international arbitrations and litigated merger and acquisition disputes in Delaware Chancery Court. Rob possesses particular expertise litigating claims involving accounting-related matters, structured products, mortgages, futures and derivatives.

In addition to being a recognized practitioner, Rob is also a thought leader -- lecturing and publishing widely. Rob is a faculty member of Practicing Law Institute’s Securities Litigation program and Chairs PLI's Storming the Gatekeepers:  When Compliance Officers and In-House Lawyers Are at Risk program. Rob has also spoken on Bond Buyer webinars, NERA's Securities and Finance Seminar, the Advanced Litigation Strategy Summit and Strafford Seminars.


Suzanne Clement Libby, a seasoned litigator and investigations attorney, is the Senior Director of Ethics at Capital One.  She is responsible for leading the Ethics Office, managing the Ethics Program, Ethics Line, and evaluating conflicts of interest disclosures across the organization.  Her prior roles include Associate General Counsel and Head of Corporate Investigations at Booz Allen Hamilton, Assistant U.S. Attorney for the District of Columbia, and Trial Attorney with the Department of Justice, Criminal Fraud Section.  

Early in her career, Suzanne was a Senior Associate with Howrey LLP handling white-collar criminal defense matters, and a law clerk for the U.S. Court of Federal Claims. 

She holds a B.A. from the Pennsylvania State University, Schreyer Honors College, and earned her J.D. from George Washington University Law School.