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The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2012


Speaker(s): Alexandra A. Wrage, Charles E. Cain, Claudius O. Sokenu, Danforth Newcomb, David N. Lawrence, Dhaval K. Sheth, E. Scott Gilbert, Edward A. Rial, Gregory S. Bruch, Howard O. Weissman, Ivonne Mena King, Jaime B. Guerrero, James T. Parkinson, Jason T. Weintraub, Jeffrey Eglash, Joel M. Cohen, John E. Davis, Kathleen Harris, Kelly S. Austin, Kenneth G. Yormark, Kimberly A. Parker, Lucinda A. Low, Mark F. Mendelsohn, Matthew Herrington, Nathan G. Bush, Paul R. Berger, Peter B. Clark, Philip Urofsky, Raja Chatterjee, Richard N. Dean, Richard W. Grime, Roger M. Witten, Sabina Bhalla Clorfeine, Stephanie J. Meltzer, Stephen Donovan, Timothy L. Dickinson, William J. Stuckwisch
Recorded on: May. 3, 2012
PLI Program #: 34629

Danforth Newcomb founded the anti-corruption practice at Shearman & Sterling LLP. His practice includes criminal and regulatory proceedings, internal investigations and compliance programs in Europe, Latin America, the Middle East, Asia and CIS countries.  He has conducted many multi-jurisdictional investigations including in Libya, Angola, Bonny Island Nigeria, China and Venezuela and acted as a DOJ & SEC sanctioned Independent Monitor in an Oil For Food prosecution and as a UN approved expert on compliance and ethics.   He also advises on Anti-Money Laundering, Economic Sanctions and sovereign immunity matters. Mr. Newcomb is the founding editor of the Shearman & Sterling FCPA Digest. 


Dhaval Sheth is a Director in the PwC New York Forensics practice and specializes in forensic investigations, review and analyses of information to be used in regulatory disputes, Foreign Corrupt Practices Act (FCPA) investigations, compliance program reviews and analyses including compliance gap assessments as well as post acquisition disputes. He has extensive experience leading and conducting forensic investigations involving multinational corporations.   

Mr. Sheth brings 17 years of public accounting experience to his clients in various industries including Financial Services, Automotive, Chemicals, Healthcare, Agriculture, Pharmaceutical and Telecom. While in the Forensics practice, Mr. Sheth has led various engagements involving forensic accounting investigations and FCPA investigations and compliance gap assessments globally including India, South Africa, Latin America, Europe, China and Hong Kong.

Mr. Sheth is also a co-founder of the Fraud Risks & Controls (FR&C) practice at PwC. The FR&C practice is a seasoned team of fraud auditors, investigative attorneys, internal control specialists and forensic accountants who have developed various methodologies to prevent and detect financial statement fraud schemes and other forms of corruption or corporate misconduct. FR&C advises PwC audit teams, governments, corporate boards, and senior management on assessing fraud & corruption risk and how to develop and evaluate internal controls to prevent and detect fraud. The practice specializes in Fraud Risk Management, Purchase Price Adjustments and Claims, Management Diligence, Emerging and Developing Market Diligence, and Portfolio Company Inquiries. Mr. Sheth's current role in FR&C also involves serving as a fraud auditor and consists of assisting the firm's audit teams with auditing client's antifraud programs and controls as well as executing the firm's audit policy around fraud risks for heightened risk clients.  Mr. Sheth assists various clients with the assessment and design of their antifraud programs and controls.

Prior to joining the private sector, Mr. Sheth served for over two years as a Senior Special Auditor/Investigator at the New York State Attorney General's (AG) office. At the AG's office, Mr. Sheth investigated several Hospitals, Hospices and Nursing Homes for violations of New York State's Medicaid laws and regulations.  

Professional and Business History

PricewaterhouseCoopers LLP

  • Director from 2006 to present
  • Manager from 2001 to 2005

Andersen LLP:
  • Senior Consultant from 1999 to 2001


KPMG LLP:
  • Consultant from 1996 - 1998

New York State Attorney General's Office - Medicaid Fraud Control Unit
  • Senior Auditor from 1994 - 1996


James Parkinson, a partner at BuckleySandler, focuses primarily on enforcement defense litigation, including corporate internal investigations and compliance counseling. He represents clients in a wide variety of criminal and civil enforcement matters, including alleged Foreign Corrupt Practices Act (FCPA), securities fraud, insider trading, false statements, and environmental crimes actions.
Mr. Parkinson's practice includes extensive FCPA representations involving both litigated and settled FCPA enforcement matters, international investigations, and compliance counseling. He writes and speaks frequently on the FCPA and has made in-person presentations on anti-corruption topics in Tokyo, Hong Kong, Shanghai, Seoul, London, Brussels, Vancouver, New York, Miami, Atlanta, Houston, Chicago and Washington, D.C.

Mr. Parkinson's experience also includes extensive environmental enforcement defense work, including two major environmental crimes trials: U.S. v. W.R. Grace (D. Montana 2009) and U.S. v. McWane (S.D. Ala. 2005). Mr. Parkinson's environmental litigation and counseling experience has involved the Clean Air Act, Clean Water Act, Resource Conservation and Recovery Act, and Superfund (CERCLA).

Prior to joining BuckleySandler, Mr. Parkinson was a partner in the Washington, D.C. office of Mayer Brown LLP, and was an associate with Beveridge & Diamond, P.C. He is a member of the Anti-Corruption Committees of the American Bar Association (Vice-Chair, 2007-08 term), the International Bar Association and the American Chamber of Commerce in India, is on the Steering Group of the ABA Section of International Law's India Committee, and is an associate-at-large with the Edward Bennett Williams American Inn of Court.

Mr. Parkinson received his J.D. from The American University, Washington College of Law (magna cum laude), where he served as Senior Editor on the Administrative Law Review. He received an M.S. from the University of Pennsylvania and a B.A. from Gettysburg College.

Mr. Parkinson is co-located between the Firm's Washington, DC and Los Angeles offices.


John Davis, Chair of the International Department and a member of the firm's Executive Committee, focuses his practice on international regulatory compliance and enforcement issues. He has a decade of experience in advising both U.S. and non-U.S. clients on corruption issues around the world. This advice has included compliance with the Foreign Corrupt Practice Act (FCPA) and related laws and international treaties (including the Organisation for Economic Co-operation and Development (OECD), Organization of American States (OAS), and UN treaties), internal investigations related to potential FCPA violations, disclosures to the Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ), and representation in civil and criminal enforcement proceedings.
 
Mr. Davis has worked extensively with clients in developing and implementing internal compliance programs, conducting due diligence on third parties, assessing compliance risks in merger and acquisition contexts, and auditing compliance processes. In addition to anti-corruption counseling, Mr. Davis focuses his practice on a range of issues relating to structuring and regulating international trade and investment transactions, including compliance with U.S. export controls, the application of U.S. and multilateral sanctions, the negotiation of joint ventures, and other agreements. He also has extensive experience in trade policy and trade litigation issues.

While at the University of Virginia School of Law, Mr. Davis was Research and Projects Editor of the Virginia Journal of International Law. He also assisted Professor Richard Lillich in the preparation of the second edition of International Human Rights: Problems of Law, Policy and Practice (1991). Prior to attending law school, Mr. Davis was with the Washington, D.C. office of Fulbright & Jaworski, where he specialized in banking and international transactions issues.

Professional and Community Involvement

  • Former Vice-Chair, Anti-Corruption Committee, Section of International Law, American Bar Association

Bar Admissions
  • District of Columbia
  • Virginia

Education
  • J.D., University of Virginia School of Law, 1991
  • B.A., University of Virginia, cum laude, 1987


Kathleen Harris is a London-based partner in the firm's White Collar Criminal Defense practice group where she represents companies in a wide range of industries, and individuals in criminal investigations and compliance matters involving allegations of complex economic fraud, bribery, money laundering, and tax and investment fraud. She is an accomplished litigator with extensive knowledge of and experience in matters involving risk assessments, investigations, and prosecutions under the UK Bribery Act, Proceeds of Crime Act, Prevention of Corruption Act, and the Serious Organised Crime and Police Act of 2005 (SOCPA), as well as experience of statutes providing investigative powers. Kathleen has broad experience advising government ministers on the development and implementation of policy and fraud strategy, and leading complex overseas enquiries and analyses.


Before joining Arnold & Porter LLP, Kathleen served as Head of Fraud Business Group and Head of Policy at the Serious Fraud Office (SFO) (2008-2011), Senior Strategic Policy Adviser in the Attorney General's Office (2007-2008), and held positions in HM Revenue & Customs (HMRC) and the Department of Works and Pensions in the United Kingdom. Kathleen has led the prosecution of organisations involved in high-profile bribery investigations, complex financial crime, and tax evasion. At the SFO, she supervised and provided strategic oversight to a number of high-level investigations and prosecutions. Kathleen revamped the agency's critical policy function, headed the domain responsible for investment fraud, and was responsible for the SFO's use of the Regulations of Investigatory Powers Act (RIPA) and its responses to Freedom of Information (FOI) and Data Protection Act (DPA) requests. She played a key role in developing seminal guidelines on critical issues, including plea negotiations, civil remedies, civil recovery, and corporate prosecutions. At the Attorney General's Office, she provided comprehensive legal and policy support, including providing specialist support for the Jessica de Grazia review, resulting in a major reorganisation of the SFO.

Kathleen has worked closely with law enforcement agencies both in the UK and internationally, including the SFO, the Attorney General's Office, the Crown Prosecution Service, HMRC, the Ministry of Justice, the US Department of Justice, and the US Securities & Exchange Commission, on all aspects of investigatory and fraud strategy. In 2010, Ms Harris was one of the official UK Examiners assigned to monitor the US government's compliance with its obligations under the Organisation for Economic Co-operation and Development (OECD) convention.

Education
  Inns of Court School of Law, 1998
  LLB, with honors, Thames Valley University, 1997
  Diploma in Magisterial Law, with distinction, Kingsway College, 1992

Admissions
  England and Wales


Sabina B. Clorfeine is Senior Counsel at Sempra Energy. Her practice focuses on civil litigation and FCPA due diligence and compliance. She provides FCPA advice for Sempra and its subsidiaries, including due diligence for third party agents, charitable donations and sponsorships. She also conducts internal investigations relating to the FCPA.


Kenneth G. Yormark is a managing director for K2 Intelligence, where he leads the U.S.-based forensic accounting team. With more than 25 years of experience, he is an expert in complex global investigations and forensic and investigative services. Ken manages and conducts high-profile securities fraud, anti-corruption/Foreign Corrupt Practices Act (FCPA), and Ponzi scheme investigations involving public and private companies in all industries around the globe. He presents to regulatory and law enforcement agencies, boards, senior management, in-house and outside counsel, and auditors.

Working with clients in the financial services, manufacturing, real estate, pharmaceutical, telecommunications, and not-for-profit industries, Ken focuses on formulating and executing strategies regarding forensic accounting, financial investigations, securities litigation, and anti-corruption risk assessments. He is accomplished at assessing the vulnerability and reconstructing internal controls, compliance procedures, and accounting systems. He regularly works side by side with law firms investigating allegations of corruption and bribery, corporate malfeasance, and “cooking the books.” He has been qualified as an expert and testified in deposition and at trial in federal and bankruptcy courts.

Ken is an adjunct professor at Georgetown University Law Center, where he teaches “Accounting for Lawyers.” He is also a faculty member of the Practicing Law Institute and an adjunct faculty member of the Association of Certified Fraud Examiners (ACFE). He speaks nationally on fraud and anti-corruption at conferences and corporate events.

Ken received his B.S. from Queens College and completed graduate studies at New York University in real estate development analysis. He is a Certified Public Accountant (CPA), a Certified Fraud Examiner (CFE), is Certified in Financial Forensics (CFF), and is a Certified Anti-Money Laundering Specialist (CAMS).


Roger M. Witten, a partner at WilmerHale in New York, has for many years been one of the recognized leaders of the FCPA bar. He leads WilmerHale's 45-lawyer FCPA team, which regularly counsels well over 50 major US and non-US companies and typically has 20 enforcement matters pending before the DOJ and SEC at any one time. Mr. Witten has deep FCPA compliance counseling experience, has supervised numerous FCPA risk assessments, has broad experience providing FCPA counsel in the mergers and acquisitions context, has conducted internal investigations for companies, and has represented companies and individuals at the DOJ and the SEC in numerous publicly disclosed and other matters.  Mr. Witten is the original author, and now co-author with his partners Kimberly Parker and Jay Holtmeier, of the leading treatise, Complying with the Foreign Corrupt Practices Act. Mr. Witten has been named to numerous published "best lawyer" lists. He is a member of the District of Columbia and New York bars. Mr. Witten graduated from Dartmouth College and Harvard Law School. He clerked for The Hon. Harrison L. Winter on the US Court of Appeals for the Fourth Circuit and thereafter served as an Assistant Special Prosecutor in the Watergate Special Prosecution Force. 



Edward Rial is the Global Leader of Deloitte's Foreign Corrupt Practices Act Investigative & Consulting Services practice. He has led numerous FCPA investigations, acquisition and third party due diligence inquiries, assessments and compliance reviews in Europe, Africa, the Middle East, Latin America and Asia for clients representing a wide range of industries, including pharmaceutical, retail, media, construction, defense contracting, technology and manufacturing. Mr. Rial also lectures frequently on corruption risk and mitigation strategies, as well as effective and efficient investigative approaches and procedures. 

Mr. Rial served as an Assistant United States Attorney for the Eastern District of New York from 1989 through 1997. He held various supervisory positions, including Chief of the Business and Securities Fraud Unit and Deputy Chief of the General Crimes Unit. Mr. Rial investigated and prosecuted a broad range of complex white-collar offenses, including securities fraud, defense contractor fraud, kickback schemes, money laundering, tax fraud, health care fraud and bank fraud. 


Jaime Guerrero is a partner with Foley & Lardner LLP and a member of the firm's Government Enforcement, Compliance & White Collar Defense Practice. Mr. Guerrero focuses in the areas of government enforcement actions, white collar criminal defense, Foreign Corrupt Practices Act ("FCPA") investigations, accounting litigation, securities litigation, and partnership disputes. He represents companies and individuals in parallel civil and criminal proceedings initiated by regulatory and prosecuting agencies for a variety of alleged wrongdoing and business disputes. Mr. Guerrero has conducted internal investigations, in both English and Spanish, in Latin American countries. Mr. Guerrero is well-versed in accounting issues in light of his prior experience as a public accountant with Deloitte & Touche LLP before entering law school. 


Recent representations include:

  • Representation of a company in the food industry in a criminal antitrust investigation.
  • Representation of a company in the pharmaceutical industry in FCPA internal investigations in South America.
  • Representation of an investor in a partnership dispute involving alleged accounting fraud. The representation resulted in a successful settlement on behalf of the investor.
  • Representation of an agricultural entity in an international arbitration involving alleged accounting fraud.
  • Representation of a lawyer in a month-long fraud trial brought by the United States Attorney's Office. The firm's representation resulted in dismissal of all counts.
  • Criminal and SEC matters involving alleged backdating of stock options.


Prior to joining Foley, Mr. Guerrero was an Assistant United States Attorney in the Criminal Division of the U.S. Attorney's Office in Los Angeles, where he investigated and tried before juries different types of federal criminal cases. He wrote appellate briefs and argued several times before the Ninth Circuit Court of Appeals.

Before becoming a federal prosecutor, Mr. Guerrero worked as a litigation associate at Morrison & Foerster LLP, where he litigated complex civil actions in federal and state courts. He represented an energy company in several antitrust actions in federal and state courts related to the California energy crisis. He also successfully handled a securities fraud lawsuit on behalf of a corporation against its former chief executive officer.

Mr. Guerrero served as a law clerk for the Honorable Robert J. Kelleher, United States District Judge for the Central District of California, in Los Angeles, California.

Before law school, Mr. Guerrero was a public accountant, successfully completing the California Certified Public Accountant Examination, and worked for several years as an auditor for Deloitte & Touche LLP. Mr. Guerrero's clients included financial institutions, pharmaceutical companies and agricultural entities.

Mr. Guerrero earned his J.D. from the University of California at Los Angeles School of Law (1997) and his B.S. from the University of California at Berkeley Haas Undergraduate School of Business (1991). He is admitted to the California Bar.

Mr. Guerrero is fluent in spoken and written Spanish and has reviewed and analyzed Spanish-language accounting work papers in connection with his representation of clients.


Jason Weintraub is Director, International Legal Affairs at Broadcom Corporation, a leading global communications semiconductor company and a member of the Fortune 500.  In this role, Mr. Weintraub provides strategic legal and public policy counsel and analysis to each of Broadcom's business units concerning international IP strategy (prosecution and enforcement), including participation in technical standards organizations. Mr. Weintraub is also responsible for the design, implementation and management of the company's international legal operations, including its preferred law firm provider program. Mr. Weintraub lead's Broadcom's international corporate governance and regulatory compliance function, including a 15-person Trade Compliance Department. Maintaining primary budgetary responsibility for this function, Mr. Weintraub develops and manages compliance policies and procedures in areas such as FCPA/anti-corruption, business partner qualification, records management, M&A (due diligence and integration) and antitrust). 

Prior to joining Broadcom, Mr. Weintraub served as Vice President, General Counsel and Chief Compliance Officer of DRI Companies, a global renewable energy products and services company. At DRI, Mr. Weintraub's responsibilities included litigation management, structuring and negotiating a variety of complex commercial transactions, directing the procurement and enforcement of intellectual property rights (patents, copyrights and trademarks), risk management, compliance, government relations and directing DRI's Human Resources function. Mr. Weintraub was honored by Inside Counsel Magazine in 2008, as DRI's legal department was named one of the Top 10 Most Innovative Legal Departments in Corporate America. Before joining DRI, Mr. Weintraub gained extensive experience in complex and class action litigation at Howard Rice Nemerovski Canady Falk and Rabkin, and at Horvitz & Levy LLP.

Mr. Weintraub is a frequently sought-after lecturer at continuing education seminars, speaking on such issues as risk management and insurance, FCPA and other corporate and regulatory compliance, product liability, unfair competition law, and complex civil litigation.  Mr. Weintraub was nominated in 2010 for the "Rising Star" award sponsored by the Orange County Business Journal. In each of the last several years, Mr. Weintraub has also been selected by his peers as a Super Lawyers "Rising Star" lawyer in Los Angeles Magazine.  Articles written by Mr. Weintraub have appeared in California Litigation, For the Defense and Verdict magazines, among others. Mr. Weintraub received his Juris Doctor degree from Berkeley Law (Boalt Hall - University of California) and his undergraduate degree in political science from Stanford University, with distinction and with departmental honors.


Stephen Donovan is the Chief Ethics and Compliance Officer for International Paper Company, a global leader in the paper and packaging industry with over 60,000 employees in 33 countries. His responsibilities include managing International Paper's global ethics and compliance program, conducting compliance audits and risk assessments, implementing corporate compliance training, and managing Corporate Security and internal investigations.

Mr. Donovan began his career as an attorney with the Antitrust Division of the U.S. Department of Justice. Since then, he has served as an associate in the Washington, D.C. office of Foley & Lardner, as an in-house attorney with a large telecommunications equipment manufacturer, and as an Adjunct Professor at Seton Hall University Law School. 

Mr. Donovan holds a law degree from the Catholic University of America, an M.A. degree in Economics from the University of Notre Dame, and a B.A. degree in Economics from the University of Oklahoma. He also earned a post-graduate diploma in EU competition law from the School of Law, King's College London.


Claudius Sokenu, a former senior counsel with the United States Securities and Exchange Commission, Division of Enforcement, is Deputy General Counsel, Global Head of Litigation, and Global Head of Compliance at Andeavor, a Fortune 100 energy company.  Claudius oversees all of Andeavor’s litigation, internal and government investigations, regulatory compliance, and the ethics and compliance program.

Prior to joining Andeavor, Claudius was a litigation partner at Shearman & Sterling’s New York, Washington, DC, and London offices where his practice focused on representing multinational public and private companies, hedge funds, private equity firms, broker-dealers, investment banks, investment advisers, accounting firms, and their officers, directors, and employees in complex commercial litigations, securities enforcement actions and litigations, including class actions and FINRA arbitrations, white collar criminal defense, derivative actions, congressional investigations, internal investigations, and corporate crisis management.  Claudius has extensive experience in handling delicate high-profile matters that require concurrent representation in the civil, criminal, and political spheres.

Claudius is widely recognized as a leading securities enforcement, white collar crime and Foreign Corrupt Practices Act (FCPA) practitioner.  In nearly two decades in private practice, Claudius represented domestic and multinational compa­nies and their employees in all aspects of FCPA internal investigations, enforcement actions, and compliance matters before the SEC, the United States Department of Justice (DOJ), the United Kingdom’s Serious Fraud Office, and other civil and criminal authorities in the United States and abroad.  Claudius has represented Boards of Directors, Audit Committees, officers, senior management and employees of multinational companies in all anticorruption investigations in dozens of countries and on virtually every continent.

Earlier in his career, Claudius served in the Washington, DC office of the SEC in the Division of Enforcement, on the Honors Program, first as a Staff Attorney and later as Senior Counsel, where he was responsible for handling a broad range of the SEC’s domestic and international enforcement matters, including investigations involving accounting fraud, insider trading, initial public offerings, illicit payments under the FCPA, investment companies and investment advisers, market manipulation, and broker-dealer misconduct.  Claudius was also a member of the Enforcement Division’s FCPA Working Group, which is now known as the FCPA Unit and the Financial Fraud Task Force.

Consistently ranked by Chambers USA and Chambers Global for his investigative, regulatory, and securities enforcement practice (2014, 2013, 2012, 2011), named a Litigation Star by Benchmark Litigation (2016, 2015), Latin Lawyer 250 for White-Collar Crime and Compliance (2013), named a rising star by Ethisphere in its national annual rankings of “Attorneys Who Matter” (2012), named a “Top Lawyer” by The Network Journal (2011), named by Main Justice as one of the Best FCPA Lawyers Outside the Beltway (2011), Diversity & The Bar’s “Leading Law Firm Rainmakers” (2010), and recognized by Securities Law 360 as one of its 10 under 40 (2007), Claudius has represented major companies and/or their officers and directors, including Bank of New York, Bank of America, CIBC World Markets, Northern Trust, Allianz SE, AIG, Cantor Fitzgerald, CVS Caremark, PepsiCo, GlaxoSmithKline, Ernst & Young, Avon Products, Arthur Andersen LLP, Amgen, Walmart, Bristol-Myers Squibb, KraftHeinz, Embraer, Cardinal Health, and TV Azteca before prosecutors and regulators in the United States and abroad and in federal and state courts on bet-the-farm matters.

Claudius was an Adjunct Professor of Law at Georgetown University Law Center in Washington, DC where he taught advanced level securities enforcement and litigation courses.  He has lectured and published extensively on securities enforcement and litigation matters and has been quoted in the financial press on a variety of securities law issues.  Claudius earned his LL.B (with Upper Class Honors) from London South Bank University, an LL.M in Corporate and Commercial Law from the London School of Economics and King’s College London, University of London, and an LL.M in Securities and Financial Regulation from Georgetown University Law Center.


David Lawrence is a Managing Director and an Associate General Counsel. He is the global head of the Business Intelligence Group, which is comprised of a number of attorneys, former government and regulatory officials, and analysts located in the United States, United Kingdom and Asia. The group has global responsibility for a wide range of regulatory and due diligence matters. In this capacity, David provides coverage for the Investment Banking, Fixed Income, Merchant Banking, Equities and Asset Management divisions.

David serves on the firm's Commitments, Capital, Credit Markets, Diverse Business Engagement, and Private Equities Group Committees, and regularly advises a number of the firm's investment committees. He is also an observer of the Middle Market Loan Committee for Goldman Sachs Bank USA and serves as senior advisor to the Legal, Global Compliance, and Internal Audit (LCA) Black Network. David joined Goldman Sachs in 1993 and was named managing director in 1999.

Prior to joining the firm, David was an assistant United States attorney for the United States Attorney's Office, Southern District of New York for approximately ten years. During his tenure, he served as the deputy chief of the Criminal Division and chief of the Public Corruption and General Crimes Units.

David serves on the Board of Directors of John Jay College of Criminal Justice.

David helped establish Regulatory Data Corp (RDC) - a data and technology risk-management company, focused on corporate compliance and reporting solutions to such issues as money laundering, fraud, government corruption and terrorism financing.

David earned a JD from New York University in 1980 and a BA, magna cum laude, from Brandeis University in 1975.


Gregory S. Bruch represents public companies, audit committees and special committees, broker-dealers, hedge funds and asset managers, accountants and lawyers, and other institutions and individuals in civil and criminal securities law enforcement, compliance and litigation.  Mr. Bruch has been lead counsel for securities enforcement and related civil and criminal matters for many leading companies and financial services firms.  He has served as corporate monitor, counsel to the corporate monitor, and independent compliance consultant for a range of subjects arising from SEC and DOJ settlements.  He is recognized as a leading attorney in securities regulation and litigation, and white-collar defense, by Chambers USA (2006-2018), The Best Lawyers in America® (2007-2018), Benchmark Litigation, and other publications. 

Mr. Bruch worked at the SEC’s Division of Enforcement for 12 years, the last five as an Assistant Director, where he was responsible for many of the agency’s significant enforcement actions concerning complex financial fraud, market manipulation, insider trading, and the FCPA.  Prior to co-founding Bruch Hanna LLP, Mr. Bruch was a partner in the Washington, DC offices of Willkie Farr & Gallagher LLP and Foley & Lardner LLP.

Mr. Bruch is a frequent speaker and panelist on securities enforcement matters, and has been quoted in numerous media publications. He graduated from Stanford University (AB History, 1982), and from the University of Iowa College of Law (JD with High Distinction, 1985), where he was the Editor in Chief of the Iowa Law Review and received the Legal Scholarship Award from the law faculty.  Following graduation, Mr. Bruch was a law clerk to the Hon. George E. MacKinnon of the United States Court of Appeals for the DC Circuit.


Howard O. Weissman is Vice President and Associate General Counsel-International for Lockheed Martin Corporation where he is responsible for providing international legal advice to all elements of the Corporation, including its international field offices, foreign subsidiaries and international joint venture companies.  Mr. Weissman has specific expertise with U.S. laws and regulations directly impacting international business operations such as the FCPA and U.S. antiboycott laws, as well as the International Traffic in Arms Regulations and Export Administration Regulations. Prior to joining Martin Marietta in 1988, Mr. Weissman held international legal positions at the Communications Satellite Corporation (COMSAT) in Washington, D.C., as well as two international law firms. 

 


Jeffrey Eglash is Vice President, Deputy Chief Legal Officer, and Chief Compliance Officer for Nokia, one of the world’s leading telecommunications equipment and technology companies. He is responsible for Nokia’s global ethics and compliance program.

Before joining Nokia, he served as Global Executive Litigation Counsel for General Electric Company in Fairfield, Connecticut, where he was responsible for litigation, compliance, and internal investigations.  Previously, Jeff was a partner at an international law firm, where he represented individuals and organizations in civil, criminal, and regulatory enforcement proceedings, and conducted internal corporate investigations.

From 1999 to 2002, Jeff served as Inspector General of the Los Angeles Police Department. From 1987 to 1999, Jeff was an Assistant United States Attorney in Los Angeles.    He served in a number of supervisory positions, including Chief of the Public Corruption and Government Fraud Section, where he prosecuted and supervised cases involving fraud against the government, official corruption, civil rights, environmental crimes, and other offenses.

Jeff graduated from college and law school at the University of California, Berkeley.


Kelly Austin is the Partner-in-Charge of Gibson, Dunn & Crutcher LLP’s Hong Kong office and has served as a member of the Firm’s Executive Committee.  Ms. Austin’s practice focuses on government investigations, regulatory compliance and international disputes.  She has extensive expertise in government and corporate internal investigations, including those involving the Foreign Corrupt Practices Act and other anti-corruption laws, and anti-money laundering, securities, and trade control laws.  Ms. Austin also regularly guides companies on creating and implementing effective compliance programs.

From 2001 to 2010, Ms. Austin served as the Compliance and Litigation Counsel for General Electric in Asia.  In that role, she coordinated litigation, alternative dispute resolution proceedings, government and internal investigations, and compliance matters for the GE businesses throughout the region.

Before moving to Hong Kong in 2001, Ms. Austin practiced in Washington, DC, representing individuals and entities in a wide variety of criminal and civil matters in federal and state courts around the United States.  Her practice focused on government investigations, including a host of Congressional and Independent Counsel investigations.  She also served as general counsel to non-profit organizations, providing guidance on a variety of legal, regulatory, and strategic matters, and regularly counseled individuals on government ethics and regulatory issues.

From 1993 to 1994, Ms. Austin served as a law clerk for The Honorable Boyce F. Martin, Jr., Chief Judge, United States Court of Appeals for the Sixth Circuit.  In 2000, she served as Special Counsel to the Executive Office of the President, representing the White House in federal litigation.

Ms. Austin graduated with distinction with a Bachelor of Arts degree from the University of Virginia and received her law degree from Georgetown University.  She is a member of the bars of Virginia and the District of Columbia, and is admitted to practice in a variety of district and appellate courts in the United States.  She is also admitted to practice in Hong Kong.

Ms. Austin is ranked as a leading lawyer (top-tier) in the category “Corporate Investigations/Anti-Corruption: China” by Chambers Asia Pacific 2019 and Chambers Global 2018; is ranked in Tier 1 for “Regulatory: Anti-Corruption and Compliance: Hong Kong” by Asia Pacific Legal 500 2019; is ranked as a leading lawyer by Who’s Who Legal: Investigations 2019; was named one of the “World’s Leading White Collar Crime Lawyers” by Euromoney’s Expert Guide 2018; was awarded “The Mentor Award of the Year for Advancement of Women in Compliance” by C5 at its annual Women in Compliance Awards 2018; is ranked as a leading lawyer by Who’s Who Legal: Business Crime Defence 2018; was named one of the “World’s Leading Women in Business Law” in the category “White Collar: Hong Kong” by Expert Guides 2017; and was named by The Asian Lawyer as the Regulatory / Compliance Lawyer of the Year for 2016.


Lucinda A. Low is a partner in the Washington, DC office of Steptoe & Johnson LLP, where she heads the firm's Chambers-ranked FCPA and anti-corruption practice and its

Compliance, Investigations, Trade and Enforcement Department, and serves on the firm’s Executive Committee. Her practice focuses on the U.S. Foreign Corrupt Practices Act and other anti-corruption laws, as well as other international regulatory compliance issues for multinational businesses, as well as multijurisdictional regulatory and enforcement matters. Ms. Low has extensive experience in internal and government investigations, representing companies, Audit Committees and Board of Directors, and individuals in enforcement matters before the U.S. Department of Justice, Securities and Exchange Commission, and the World Bank and other international financial institutions and foreign authorities. Ms. Low's practice also includes compliance counseling and advice, representation in disputes between commercial parties and host governments, including disputes involving issues of fraud and corruption.  She has received a Band 1 Ranking in both Chambers Global and USA legal directories for International Trade: FCPA Experts for the past ten years (2010-2019). Ms. Low has also been listed in Best Lawyers in America from 2001-2020 for International Arbitration: Governmental and International Trade and Finance Law, and in Super Lawyers Washington, DC, International from 2013-2019. In 2019, she was also listed in Super Lawyers’ list of “Top 50 Women.”

Ms. Low is the Immediate Past President of the American Society of International Law, the Vice Chair of the Board of Directors of the Coalition for Integrity (formerly known as Transparency International-USA) and serves on its Executive Committee, and was the first woman to chair the ABA Section of International Law.  She has received numerous awards for her work. Most recently, she received the Louis B. Sohn Award for Public International Law from the ABA Section of International Law.  In 2017, she received the Outstanding Career award from the Global Investigations Review, which in 2015 also named her to its list of “Women in Investigations: One Hundred Investigation Specialists from Around the World.” 

Ms. Low was appointed in 2017 by the President of the World Bank to the Panel of Arbitrators of the International Centre for Settlement of Investment Disputes (ICSID); and in 2016 was appointed by President Obama to the ICSID Panel of Conciliators.  She currently sits as President of two ICSID arbitration tribunals and is a member of an annulment committee in a third case.  She also serves on the U.S. Secretary of State’s Advisory Committee on Public International Law.  She also has significant experience as counsel in investor-state and commercial arbitration proceedings, and as an expert witness in disputes raising bribery and corruption and related issues.

Ms. Low was Editor-in-Chief of the UCLA Law Review in 1976-77.  I addition to her J.D. from UCLA Law School, she holds a B.A. from Pomona College, where she designed an inter-disciplinary major in Latin American Studies and Economics.  Ms. Low speaks Portuguese, Spanish and French, and has some knowledge of Russian, Italian and Japanese.


Nathan G. Bush (“Nate”) is a partner in the Litigation Department in O’Melveny's Singapore office. He was based in the Washington, D.C. office before relocating  to Beijing in 2004, and Singapore in 2012. Nate’s practice focuses on regulatory matters, commercial disputes, and litigation concerning antitrust and competition, fraud and corruption, and international trade.

Nate received two of the highest rankings for Competition/Antitrust (International Firms) (China) and International Trade (International Firms) (China) by Chambers Asia 2011/2012 and Chambers Global 2011/2012. He is also recommended as  a “Leading Lawyer” in the 2013 Edition of IFLR1000.

Antitrust & Competition. Nate counsels clients regarding merger notifications, compliance strategies, and enforcement risks under the competition regimes of China and other jurisdictions in Asia. He is experienced with matters arising under U.S. antitrust laws, including merger filings, litigation of civil antitrust claims, and price-fixing investigations.

Internal Investigations & Compliance. Nate conducts internal investigations and counsels clients on compliance with the U.S. Foreign Corrupt Practices Act and other anticorruption laws, securities fraud, anti-money laundering rules, and international sanctions. He has conducted over 30 internal investigations in diverse sectors involving Japan, China, Hong Kong, Singapore, India, Vietnam, and countries in Europe and South America. He routinely advises on compliance aspects of capital markets, M&A, private equity, and venture capital transactions in Asia.

Commercial Disputes. Nate represents clients in U.S. litigation involving Asia and advises on the resolution of disputes through arbitration and litigation throughout Asia.

International Trade & Market Access. Nate represents multinational companies before the U.S. and Chinese governments on matters involving China’s WTO accession commitments, trade remedies, and the WTO dispute settlement process.

He frequently publishes and speaks on competition and trade policy in Asia, and authored the China chapter of the ABA treatise on COMPETITION LAWS OUTSIDE THE UNITED STATES. He is active in the American Chamber of Commerce in China, serving as Legal Committee Chairman in 2008 and as General Counsel from 2009 through 2011

Professional Activities

Law Clerk, The Honorable Leonie Brinkema, U.S. District Court, Eastern District of Virginia
Languages, Mandarin Chinese

Professional Focus:
Antitrust and Competition 
Asia Antitrust and Competition China
Dispute Resolution
Foreign Corrupt Practices Act Regulation of Cross-Border Trade and Investment
Trade Remedies and Trade Policy India
Litigation
Regulatory and Government Affairs

Education:
Harvard
Law School, J.D.: cum laude; Editor-in-Chief, Harvard Asia Quarterly; Submissions Committee, Harvard International Law Journal; Harvard Asia Law Society Executive Board

University of Virginia, B.A., Government and Foreign Affairs, East Asian Studies (Minor): Phi Beta Kappa

Admitted:
Washington, D.C.


Peter Clark is senior counsel in the White Collar Defense and Investigation and Complex Litigation Practices, resident in the Washington D.C. office.

Prior to joining Cadwalader, Peter served as Deputy Chief of the Fraud Section of the Criminal Division of the Department of Justice, where he had previously held the position of Senior Litigation Counsel. Before his tenure at the DOJ, he was Special Counsel in the Division of Enforcement of the Securities and Exchange Commission, which he joined at the request of William Casey, then Chairman of the SEC.

Prior to his government service, Peter was with New York's Hall, Casey, Dickler & Howley, where he worked on securities, real estate, and tax litigation matters.

Among his many accomplishments, Peter has handled hundreds of voluntary disclosures of illicit corporate payments and securities enforcement matters both at the SEC and the DOJ, and successfully prosecuted the first transnational bribery cases brought by the Department. He played an important role in the enactment and subsequent amendments to the Foreign Corrupt Practices Act (FCPA), and was the Department's principal negotiator of the Organisation for Economic Co-operation and Development’s (OECD) anti-bribery convention and the Council of Europe Criminal Law Convention. He has worked closely with The World Bank and other international organizations in their implementation of anti-corruption compliance programs. Peter was a founder of the Justice Department's Securities and Commodities Fraud Working Group. As Deputy Chief of the Fraud Section, Peter was responsible for all of the Department's FCPA investigations and prosecutions, and for the FCPA Opinion Procedure. 

Peter was presented with the 1998 Award for Outstanding Government Lawyer by the American Bar Association Section of International Law and Practice for his role in enforcing the FCPA and in negotiating the OECD Convention. Most recently, he was recognized as an “FCPA Master” by Main Justice for his record of achievement in anti-corruption defense work.  Ethisphere Institute honored Peter in their 2012 Attorneys Who Matter Hall of Fame, Ethisphere's highest honor given to a practicing attorney, and named him a "Top Gun" lawyer in its 2011 Attorneys Who Matter.  Peter was also recognized by Who's Who Legal's The International Who's Who of Business Crime Defence Lawyers in 2014 and 2012, and by Benchmark Litigation.   Peter has been a member of the Advisory Committee on International Economic Policy of the U.S. Department of State. He is a member of the Board of Directors of Transparency International-USA.

Peter is a graduate of Brown University and the University of Pennsylvania Law School. He has lectured extensively before professional associations both domestically and internationally. He is admitted to practice in the District of Columbia and the State of New York.


Philip Urofsky is head of the global anti-corruption practice at Shearman & Sterling LLP, where he counsels Boards, companies, and individuals concerning  government investigations, internal investigations, and compliance controls with respect to the Foreign Corrupt Practices Act, financial sanctions regulations, and other white collar laws and regulations.   Formerly the lead FCPA trial attorney at the Department of Justice, he was responsible for many FCPA investigations and prosecutions, helped negotiate the Council of Europe and OECD Conventions and was designated as the U.S. expert for the OECD Working Group on Bribery’s peer review process, and was the principal drafter of the DOJ’s Federal Principles of Corporate Prosecution (the “Holder Memo”) (although he disclaims any responsibility for what the government did with it afterwards).  Mr. Urofsky writes and speaks widely on topics related to the design and implementation of compliance programs and sanctions and anti-corruption enforcement trends and patterns. 


Richard N. Dean is the Managing Partner of the Washington, D.C. office of the international law firm of Baker & McKenzie LLP.

Mr. Dean specializes in the U.S. Foreign Corrupt Practices Act (FCPA) and related legislation, including U.S. money laundering laws and their application to the activities of U.S. companies in emerging markets. He advises on the structuring of foreign investment transactions to comply with U.S. laws; supervises the conduct of internal investigations and audits to determine compliance with laws and regulations, including the Sarbanes-Oxley Act; and advises senior management and corporate audit committees on the consequences of such investigations and audits, including the development of appropriate defenses, disclosures, disciplinary actions and compliance policies.   His practice includes representing multinational companies before the U.S. Department of Justice and the Securities and Exchange Commission in connection with FCPA and related matters.

Mr. Dean has conducted investigations into possible FCPA violations in a variety of high risk emerging markets, such as Russia, Ukraine and other CIS countries, West Africa, the Middle East, China, India, South America and Indonesia and has advised multinational companies on structuring transactions with distributors, dealers, joint venture partners and charitable institutions.


Richard W. Grime is a litigation partner in the Washington office of Gibson, Dunn & Crutcher’s Washington, DC office and a member of the White Collar Defense and Investigations Practice Group and the Securities Enforcement Practice Group. 

Mr. Grime’s practice focuses on representing companies and individuals in corruption, accounting fraud, and securities enforcement matters before the Securities and Exchange Commission and the Department of Justice.  Mr. Grime also conducts internal investigations and counsels clients on compliance and corporate governance matters with a particular focus on corruption investigations.

Prior to joining Gibson Dunn, Richard spent over nine years in the Division of Enforcement at the Securities and Exchange Commission in Washington, DC.  In his last four years at the Commission he was an Assistant Director. Mr. Grime is currently highly ranked in Chambers USA Nationwide FCPA and Chambers Global FCPA and was recently selected by his peers for inclusion in The Best Lawyers in America© 2016 in the field of Criminal Defense: White Collar.  He is also a longstanding and frequent speaker to legal and industry practitioners particularly on anti-corruption and securities enforcement topics.

Mr. Grime received his law degree from Oxford University.


Stephanie Meltzer is a Vice President, Assistant General Counsel, at Pfizer. Inc. where she leads the Company’s global Anti-Corruption Program Office as well as the Mergers and Acquisitions Compliance function. Stephanie is a former federal prosecutor and partner at Cadwalader, Wickersham and Taft, where she specialized in advising companies and individuals in connection with white collar criminal matters as well as the development of international compliance programs. She has extensive experience with regard to the FCPA and its foreign law counterparts, having conducted numerous complex multi-jurisdictional investigations, performed transactional due diligence, and drafted and implemented anti-corruption compliance programs for a variety of companies and industries. Stephanie received her B.S. from the University of Michigan and a J.D. from Tulane University School of Law.


Timothy L. Dickinson is a partner in the Washington D.C. office of Paul Hastings with over 30 years’ experience in the field of anti-corruption law. Mr. Dickinson’s practice encompasses a number of areas, including all aspects of the Foreign Corrupt Practices Act, U.S. export laws, economic sanctions, ITAR regulations (including enforcement actions), and political risk insurance.

Mr. Dickinson works closely with a wide range of industries on FCPA matters, including establishment of compliance programs, due diligence in acquisitions, special investigations and defense before regulators in the U.S. as well as abroad, including the U.K.'s Serious Fraud Office. In 2005, he was appointed Independent Expert by Monsanto as part of a Deferred Prosecution Agreement with the Department of Justice and he recently concluded a three-year term as Independent Monitor in conjunction with a case settled in 2010.  Mr. Dickinson was also selected by the World Bank to assist with the development of their Voluntary Disclosure Program, and participated with Bank staff in evaluating and recommending improvements to a VDP participant's compliance program.  Chambers USA 2009, 2010, 2011, 2012 and 2013 have recognized him among the very few attorneys ranked as top-tier FCPA experts; he was also named by Ethisphere at the top of their FCPA 2009 list of Attorneys Who Matter.

Mr. Dickinson also represents political risk insurance entities dealing with coverage issues, arbitration of disputes, and recovery activities.  He has worked on major infrastructure projects in the Middle East and Asia and has represented foreign governments in matters involving public international law; including treaty rights, expropriation, and sovereign immunity.

Mr. Dickinson was an adjunct professor of law at Georgetown University Law Center from 1983 to 1993.  He is currently a Professor from Practice at The University of Michigan Law School where he teaches Transnational Law and International Commercial Transactions, and is a founding faculty member of the International Transactions Clinic, which gives students practical experience in international law. He served as the chair of the ABA Section of International Law and Practice in 1997-1998, has served on the Executive Council of the American Society of International Law and serves as Director of the International Law Institute’s course on government integrity and anti-corruption initiatives.  Mr. Dickinson is chairman of the ABA's International Legal Resource Center, which provides global legal assistance in conjunction with the United Nations Development Programme.  He served as Co-Chair of the International Bar Association's Anti-Corruption Committee for 2012-2013.

Mr. Dickinson graduated from The University of Michigan law school in 1979 after completing his B.A. in 1975.  He also studied at The Hague Academy of International Law in the Netherlands and L'Université d'Aix-Marseille in France and spent a brief period as an extern in the Office of the Legal Adviser of the Department of State.  Following law school, he earned his LL.M. as a Jervey Fellow at Columbia University.  After finishing his LL.M. degree, Mr. Dickinson worked in the Legal Service of the Commission of the European Communities in Brussels, Belgium.  Mr. Dickinson then returned to Washington, D.C., where he entered private practice.


A partner in the Litigation Department, Mark Mendelsohn is co-chair of the Anti-Corruption & FCPA Group, and a member of the White Collar and Regulatory Defense, Internal Investigations, and Securities Litigation Practice Groups. Prior to joining Paul, Weiss, Mark served as the deputy chief of the Fraud Section of the Criminal Division of the United States Department of Justice (DOJ), and is internationally acknowledged and respected as the architect and key enforcement official of DOJ’s modern Foreign Corrupt Practices Act (FCPA) enforcement program.

Mark’s practice emphasizes white collar matters, internal corporate investigations, and compliance counseling. He regularly represents clients in FCPA and corruption-related internal investigations, designing and implementing compliance programs, transactional anti-corruption diligence, and responding to and defending against government investigations, prosecutions, and trials on behalf of both business entities and individuals.

As deputy chief of the Fraud Section from 2005 to 2010, Mark was responsible for overseeing all DOJ investigations and prosecutions under the FCPA, and for supervising a team of trial attorneys with respect to investigations and prosecutions of a wide variety of federal white collar crimes including money laundering, mail and wire fraud, procurement fraud, Arms Export Control Act and International Traffic in Arms Regulations (ITAR) violations, and violations of economic and trade sanctions laws and regulations, including with respect to the United Nations Oil for Food Program. During his tenure, Mark handled hundreds of voluntary disclosures of illicit corporate payments, worked closely with attorneys in the Division of Enforcement at the U.S. Securities and Exchange Commission, helped establish and worked closely with the Federal Bureau of Investigation’s FCPA squad at the Washington Field Office, negotiated numerous corporate plea, deferred and non-prosecution agreements on behalf of DOJ, and participated in the appointment of, interaction with, and reporting by more than 16 corporate compliance monitors. Mark led an effort to forge closer working relationships with foreign regulators in connection with transnational bribery cases, resulting in coordinated settlements with the Munich Public Prosecutor in Germany in the Siemens prosecutions and coordinated settlements with the U.K.’s Serious Fraud Office in the BAE and Innospec prosecutions, among others. Mark was also responsible for  administering DOJ’s FCPA Opinion Release Procedure, including issuing the seminal opinion on FCPA transactional diligence and successor liability (Op. Rel. 08-02).

In addition to case-related responsibilities, Mark had significant policy responsibilities, including principal policy responsibilities related to the Organisation for Economic Co-operation and Development (OECD) Anti-bribery Convention. As a member of the U.S. delegation to the OECD Bribery Working Group, Mark served as a lead examiner for the follow-up review of Japan’s implementation of the OECD Anti-bribery Convention, played a key role in peer review of the United Kingdom including consultation regarding its Bribery Act of 2010, negotiated the 2009 Anti-Bribery Recommendation, and played a leading role in the drafting and adoption of the OECD’s “Good Practice Guidance on Internal Controls, Ethics and Compliance.”

During his tenure administering the DOJ’s FCPA enforcement program, the DOJ brought more than 50 prosecutions against corporations for violations of the FCPA and related offenses, resulting in more than $1.5 billion in criminal penalties. During that same period, DOJ brought approximately 80 prosecutions against individuals. Among the notable prosecutions were the following: U.S. v. Siemens AG, et al.; U.S. v. Kellogg Brown & Root, LLC and U.S. v. Albert “Jack” Stanley; U.S. v. Congressman William J. Jefferson; U.S. v. BAE Systems plc; U.S. v. Baker Hughes, et al.; U.S. v. Titan Corp.; U.S. v. Statoil ASA; U.S. v. Monsanto; Lucent Technologies, Inc.; U.S. v. Willbros Group, Inc., et al.; U.S. v. Christian Sapsizian, et al.; U.S. v. Viktor Kozeny and Frederick Bourke, Jr.; U.S. v. Gerald and Patricia Green; U.S. v. Innospec, Inc.; and U.S. v. Daimler AG.

Prior to joining the Fraud Section, Mark was senior counsel in the DOJ’s Computer Crime and Intellectual Property Section in Washington, D.C., and prior to that served for nearly six years as an assistant U.S. attorney in the U.S. Attorney’s Office in the Southern District of New York. During his service with the U.S. Attorney’s Office, Mark tried numerous cases to verdict and argued several appeals before the United States Court of Appeals for the Second Circuit. As a federal prosecutor, Mark was a recipient of the Attorney General’s Award for Distinguished Service for the “Investigation into Corrupt Payments by Siemens AG,” and a recipient of the Assistant Attorney General’s Award for “The Safeguarding and Maintenance of Confidence in the American Marketplace.” Mark has been recognized by Ethisphere Institute in 2011 as a “Top Gun” among “Attorneys Who Matter,” in 2009 as a “Government Star” among “Attorneys Who Matter In Corporate Compliance,” and in 2007 and 2008 as one of the “100 Most Influential People in Business Ethics.” Mark has been selected to Lawdragon “500 Leading Lawyers in America” numerous times. Mark is also ranked by Chambers for his work as an FCPA practitioner.

Mark has spoken frequently as a faculty member, panelist and keynote speaker at numerous FCPA, anti-corruption, corporate compliance, securities fraud, money laundering, and white collar crime programs and conferences. He teaches International Criminal Law as a visiting professor at the University of Virginia School of Law and has also been an adjunct lecturer-in-law at Columbia Law School. Mark is member of the Edward Bennett Williams Inn of Court and a member of the Board of Directors of Transparency International-USA.


Joel M. Cohen, a trial lawyer and former federal prosecutor, is Co-Chair of Gibson Dunn’s White Collar Defense and Investigations Group, and a member of its Securities Litigation, Class Actions and Antitrust Practice Groups. Mr. Cohen has been lead or co-lead counsel in 24 civil and criminal trials in federal and state courts. Mr. Cohen is equally comfortable leading confidential investigations, managing crises or advocating in court. Mr. Cohen’s experience includes all aspects of FCPA/anticorruption issues, insider trading, cross-border tax issues, securities and financial institution litigation, class actions, sanctions, money laundering and asset recovery, with a particular focus on international disputes and discovery.

Mr. Cohen was the prosecutor of Jordan Belfort and Stratton Oakmont, which is the focus of “The Wolf of Wall Street” film by Martin Scorsese. He was an advisor to the OECD in connection with the effort to prohibit corruption in international transactions and was the first Department of Justice legal liaison advisor to the French Ministry of Justice. Mr. Cohen is rated in Chambers, where practitioners and clients have noted that he has “incredibly strong substantive depth melded with a risk-based practicality,” “strong trial skills and handling of large-scale investigations,” and praised his ability to “handle very intense, complex matters with regulatory authorities and really just deliver great results.” Mr. Cohen has been repeatedly named a leading white collar criminal defense attorney by The Best Lawyers in America©, a “Litigation Star” national Top 100 Trial Lawyer by Benchmark Litigation, an “MVP” by Law360, one of the world’s leading practitioners in White Collar Crime in Euromoney’s Expert Guides – White Collar Crime, a “Super Lawyer” in Criminal Litigation, and his work is noted by Legal 500 in the areas of white collar criminal defense and securities litigation. In addition, The American Lawyer named Mr. Cohen as one of its Litigators of the Week after winning a jury defense verdict in an insider trading case on behalf of Nelson Obus, general partner of Wynnefield Capital.

Mr. Cohen was featured in The American Lawyer’s 2016 award of “White Collar/Regulatory Law Firm of the Year” to Gibson Dunn for his Obus trial victory. Noting that his client was “in awe” of his trial and cross examination skills, The American Lawyer linked the trial victory with the SEC’s decision days after the defense verdict to avoid jury trials and seek administrative actions in the future.


Mr. Gilbert is a Senior Vice President and the Chief Risk and Compliance Officer of Marsh & McLennan Companies, the premier global professional services firm providing advice and solutions in risk, strategy and human capital. Through our market leading brands – Marsh, Mercer, Guy Carpenter, and Oliver Wyman – over 55,000 colleagues in more than 100 countries help clients identify, plan for and respond to critical business issues and risks.

Mr. Gilbert is a member of the Marsh & McLennan Companies Executive Committee. He reports to CEO Dan Glaser and the Audit Committee of the Board of Directors. In his role as Chief Risk & Compliance Officer, he also oversees the firm’s Global Security, Business Resiliency and Global Technology Infrastructure functions.

Mr. Gilbert joined Marsh & McLennan Companies in January, 2005 from the General Electric Company (GE), where he was Chief Compliance Counsel. Prior to joining GE in 1992, Mr. Gilbert served for five and a half years as an Assistant U.S. Attorney in the Southern District of New York, where he served on the Securities and Commodities Fraud Task Force investigating criminal violations of federal securities laws.

Mr. Gilbert is a graduate of Harvard College and received his J.D. from Harvard Law School.


Raja is responsible for oversight of the company’s Compliance program, including Financial Crimes Compliance, as well as other global risk responsibilities.  He also participates in Tishman Speyer’s Investment and Management Committees.

Raja previously worked at Morgan Stanley for ten years as the Global Head of the Anti-Corruption Group, the Global Head of Special Investigations, and the Firm’s Global Franchise Committee Officer.

Prior to joining Morgan Stanley, Raja was a prosecutor for ten years, most recently at the Department of Justice, Criminal Division, Fraud Section, in Washington, DC.  Raja also served as an Assistant District Attorney at the New York County District Attorney's Office.


Kimberly A. Parker is a partner at Wilmer Cutler Pickering Hale and Dorr in Washington.  Ms. Parker co-leads the firm’s Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice.  She has represented companies and individuals in a variety of FCPA enforcement matters, including defense company Armor Holdings in its July 2011 FCPA settlement involving conduct related to the United Nations, oil driller Helmerich & Payne in its July 2009 FCPA involving payments to customs officials in Argentina and Venezuela, and the Titan Corporation in its landmark 2005 FCPA case.  She has conducted internal investigations in the United States, Asia, Africa, Europe, and Latin America.  She regularly counsels clients on FCPA compliance, assists in developing and conducting FCPA training and compliance programs, and conducts anti-corruption due diligence and risk assessments.  In addition to co-authoring several articles on the FCPA, Ms. Parker is a co-author, with Roger M. Witten, Jay Holtmeier, and Erin Sloane of the firm’s New York office, of a leading treatise in the field, Complying with the Foreign Corrupt Practices Act.  Ms. Parker is ranked for FCPA work in Chambers USA: America's Leading Lawyers in Business.


Alexandra Wrage is the president of TRACE. She is also the editor of How to Pay a Bribe: Thinking Like a Criminal to Thwart Bribery Schemes, the author of Bribery and Extortion: Undermining Business, Governments and Security and the host of the training DVD Toxic Transactions: Bribery, Extortion and the High Price of Bad Business produced by NBC. Ms. Wrage has written three compliance guidebooks and is a guest blogger on the Huffington Post. She speaks frequently on topics of international law, innovative compliance initiatives and the hidden costs of corruption, and regularly authors articles appearing in the business and legal media, including a bi-weekly column for Corporate Counsel.
               
Ms. Wrage currently serves on the Independent Governance Committee (IGC) of the Fédération Internationale de Football Association (FIFA), football's governing body.  She has previously served as Chair of the Anti-Corruption Committee of the ABA's International Section and Chair of the International Legal Affairs Committee of the Association of Corporate Counsel.  She has participated in anti-bribery working groups with the OECD and the UN Global Compact. Ms. Wrage was named one of the "Canadians Changing the World" by the Toronto Globe and Mail in 2011 and one of Maryland's Top 100 Women and Most Admired CEOs for 2012 by the Daily Record.
               
Prior to founding TRACE, Ms. Wrage was international counsel at Northrop Grumman where she was responsible for managing and improving the company's compliance program, including policy revisions, training, monitoring and board briefings.  
               
Ms. Wrage, a Canadian, studied law at Kings College, Cambridge University. She lives now in Annapolis, Maryland, with her husband and two sons.


Charles E. Cain is the Chief of the Foreign Corrupt Practices Act Unit within the Securities and Exchange Commission’s Division of Enforcement. He has been in the SEC’s FCPA Unit since its formation in 2010 and with the Division of Enforcement for nineteen years. As the Chief, his roles include oversight of the National FPCA program, coordination with domestic and foreign law enforcement, and supervision of individual investigations. During his tenure with the SEC, he has also been responsible for numerous significant cases in other areas including financial fraud, insider trading, offering fraud, market manipulation, disclosure fraud, and broker dealer practices. Mr. Cain is a graduate of The George Washington University Law School.


Paul Berger is a litigation partner at Debevoise & Plimpton LLP, in Washington, D.C., where he focuses his practice on securities litigation, enforcement and white collar criminal defense matters.  Mr. Berger is recognized as a leading lawyer by Legal500 US (2008) and Chambers USA (2008), with the latter praising him for his "encyclopedic knowledge of FCPA regulations and experience with anti-bribery laws."  Prior to joining Debevoise, Mr. Berger was an Associate Director of the Securities and Exchange Commission's Division of Enforcement.  At the SEC, Mr. Berger oversaw Commission investigations and enforcement proceedings on both specific enforcement cases and on enforcement initiatives and policies.  He helped establish and chaired the Commission's Financial Fraud Task Force and played a leading role in the Commission's focus on Foreign Corrupt Practice Act enforcement.  Mr. Berger received the SEC's prestigious Stanley Sporkin Award in 1999, given in recognition of outstanding contributions to the Division of Enforcement.


William Stuckwisch is a partner in Kirkland’s Washington, D.C. office. Bill focuses his practice on government and internal investigations, Foreign Corrupt Practices Act (“FCPA”) enforcement and compliance matters, and white collar criminal defense.

Prior to joining Kirkland, Bill served as a federal prosecutor for eight years in several positions in the Criminal Division of the U.S. Department of Justice in Washington, D.C. As Assistant Chief in the Fraud Section’s FCPA Unit for two years, he supervised approximately half of the department’s FCPA matters, as well as assisted in the development and implementation of FCPA enforcement policy, strategy and initiatives.  Previously, Bill served as Senior Counsel to the Assistant Attorney General and as a senior trial attorney in the Fraud Section.  Prior to joining the Department of Justice, Bill was with O’Melveny & Myers LLP in Washington, D.C.

He has been recognized as a leading lawyer by Chambers Global, The World’s Leading Lawyers for Business and Chambers USA, America’s Leading Lawyers for Business; a leading investigations lawyer by Global Investigations Review; and in The Legal 500 U.S.