David E. Brodsky is a partner at Cleary Gottlieb based in the firm's New York office.
Mr. Brodsky specializes in securities enforcement, white-collar criminal defense, and internal investigations. He has represented corporations and individuals in investigations involving alleged insider trading, accounting and securities fraud, foreign corrupt payments, bid rigging, and obstruction of justice.
He has appeared before the Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers, the Financial Industry Regulatory Authority, the New York Attorney General's Office, and the New York District Attorney's Office.
Mr. Brodsky is distinguished as one of the leading lawyers for white-collar criminal defense and investigations by Chambers USA, Benchmark Litigation: The Definitive Guide to America's Leading Litigation Firms and Attorneys, The Legal Media Group Guide to the World's Leading White Collar Crime Lawyers, The International Who's Who of Business Lawyers, The Best Lawyers in America and The Legal 500. He has spoken before the Practicing Law Institute, the Securities Industry and Financial Markets Association, the Institute of International Bankers, the Federal Bar Council, and the Association of the Bar of the City of New York. He has served on the Committee on Professional and Judicial Ethics of the Association of the Bar for the City of New York, is an officer of the Federal Bar Council, and is a member and former Director of the New York Council of Defense Lawyers.
Previously, Mr. Brodsky served in the United States Attorney's Office for the Southern District of New York, where he handled more than a dozen jury trials and argued numerous appeals before the Second Circuit. As Chief Appellate Attorney, he briefed and argued United States v. Chestman, a precedent-setting insider-trading case decided by the Second Circuit sitting in banc. In addition, as a member of the Securities and Commodities Fraud Unit, he handled United States v. Bilzerian, a high-profile securities and tax fraud prosecution.
Mr. Brodsky joined the firm in 1991 and became a partner in 1994. He received a J.D. degree in 1983 from the Yale Law School, where he served as a Senior Editor of the Yale Law Journal. Mr. Brodsky received an undergraduate degree in 1980 from Rutgers University, where he graduated summa cum laude. Following law school, Mr. Brodsky served as a law clerk to the Honorable W. Arthur Garrity, Jr., United States District Judge in Boston, Massachusetts.
Mr. Brodsky is a member of the Bar in New York and is admitted to practice before the U.S. Supreme Court, the U.S. Court of Appeals for the Second Circuit, and the U.S. District Courts for the Southern and Eastern Districts of New York.
Mona Patel is a partner in the Litigation and White Collar Defense & Investigations practice groups and is resident in the firm’s Washington Office. She represents companies, boards of directors, and senior executives in internal investigations, white collar criminal defense matters, and complex commercial litigation.
Ms. Patel has substantial experience representing and counseling pharmaceutical and other healthcare companies in large scale internal and government investigations and related civil litigation and compliance matters. Ms. Patel also conducts internal FCPA investigations for companies and provides guidance to clients on FCPA compliance issues and program elements. She has litigated business tort and complex contract cases across a broad range of industries, and has represented clients before state and federal courts on a variety of matters, including False Claims Act cases.
Reuben Guttman is a Partner at Grant & Eisenhofer. His practice involves complex litigation and class actions.
Mr. Guttman has been counsel in some of the largest recoveries under the Federal False Claims Act, including U.S. ex rel. Johnson v. Shell Oil Co., 33 F. Supp. 2d 528 (E.D. Tex. 1999), where over $300 million was recovered from the oil industry. He also represented one of the six main whistleblowers in litigation resulting in the government's September 2009, $2.3 billion settlement with Pfizer Pharmaceutical. Cases brought by Mr. Guttman under the False Claims Act on behalf of a European whistleblower resulted in a $13 million settlement with a Department of Defense contractor. He is currently lead counsel in three pending False Claims Act cases where the United States Department of Justice has intervened on the side of his whistleblower clients
Mr. Guttman is the author and/or editor of numerous articles, book chapters, and technical publications and his commentary has appeared in Market Watch, American Lawyer Media, AOL Government, and Accounting Today. His article, Pharmaceutical Regulation in the United States; A Confluence of Influences, was published in Chinese by the Peking University Public Interest Law Journal, Vol. 1, Page 187 (2010). He is co-author of Gonzalez v. Hewitt, SEC v. HG Pharmaceutical, and U.S. ex rel. Rodriguez v. Hughes, which are case files published by the Emory University School of Law Center for Advocacy and Dispute Resolution (2010) and used to train law students and practicing attorneys. He has appeared on ABC Nightly News, CNN, Bloomberg News, and has been quoted in major publications including The Wall Street Journal, The New York Times, The Washington Post, The Los Angeles Times, The Atlanta Journal-Constitution, USA Today, Houston Chronicle, Dallas Morning News and national wire services including the Associated Press, Reuters and Bloomberg.
In addition to his writings, Mr. Guttman has testified before committees of the United States House of Representatives and the United States Senate on the Asbestos Hazard Emergency Response Act (AHERA). In 1992, he advised President-elect Clinton's transition team on labor policy and worker health and safety regulation.
Mr. Guttman earned his law degree at Emory University School of Law graduating in 1985, and his Bachelor's Degree from the University of Rochester in 1981. He is a Senior Fellow and Adjunct Professor at the Emory University School of Law Center for Advocacy and Dispute Resolution and has been a Team Leader for Emory University School of Law School's Kessler-Eidson Trial Techniques Program. As part of a U.S. State Department program in conjunction with the Center for Advocacy and Dispute Resolution, he has been one of five visiting professors at Universidad Panamericana in Mexico City training Mexican Judges and practitioners on oral advocacy and trial practice. He is a contributing editor of a soon to be published text book on trial practice for Mexican practitioners.
Mr. Guttman is a faculty member of the National Institute of Trial Advocacy. He has been a guest lecturer at a number of universities including Jao Tong University in Shanghai, Peking University in Beijing and Renmin University in Beijing. In 2006 he was invited by the Dutch Embassy in China to share his expertise with experts in China about changes to the nation's labor laws. He is a Co-Founder of Voices for Corporate Responsibility, www.voicesforcorporateresponsibility.com, and founder of www.whistleblowerlaws.com and www.thecorporateinsider.com.
Therese Pritchard is a member of the Securities Enforcement, Compliance and Litigation Client Service Group. She has concentrated on securities and financial institutions enforcement and litigation for more than 25 years. Ms. Pritchard has represented major public companies, banks, broker-dealers, investment advisors, mutual funds, hedge funds and individuals under investigation by the SEC, the NYSE, the NASD and the federal banking agencies. She has also conducted independent investigations on behalf of, and served as counsel to, boards of directors and audit committees of public companies. Ms. Pritchard has handled SEC and audit committee investigations involving revenue recognition, stock option pricing and backdating, off balance sheet financing, related party transactions, acquisitions and restructuring issues and the timing and adequacy of reserves. She has conducted several independent investigations into possible FCPA violations in the Far East. She has handled broker-dealer and fund matters involving, among others, manipulative trading, valuation, allocation, suitability and supervision issues. Ms. Pritchard's areas of practice also include insider trading, disclosure questions, delisting proceedings and broker-dealer regulation.
Ms. Pritchard was with the Division of Enforcement of the Securities and Exchange Commission from 1982 to 1991. She served as an assistant director from 1986 on and handled many of its most notable Wall Street cases. In 1985, she received the Manuel Cohen Outstanding Younger Lawyer Award in recognition of her achievements at the SEC. From 1991 to 1994, she was deputy chief counsel of the Office of Thrift Supervision, in charge of its Washington, D.C. enforcement program, directing and managing many high-profile fraud cases brought by the government resulting from the savings and loan crisis. Ms. Pritchard then co-managed the Professional Liability Section of the Resolution Trust Corporation from 1994 to 1995, where she directed and resolved more than 300 cases against officers, directors and other professionals associated with failed savings and loan institutions.
Ms. Pritchard is a frequent speaker on securities law and enforcement matters at continuing legal education programs. She was named one of the Best Lawyers in America® (2008-2011) by various publications, including the Washington Post, Washingtonian and Woodward/White, Inc.'s 13th edition of The Best Lawyers in America. She served on the firm's Executive Committee from 2005 to 2011. She also served for several years as the chair of the Securities Enforcement Subcommittee of the Business Law Section of the American Bar Association.
Bar and Court Admissions
Practice limited to matters and proceedings before federal courts and agencies
Boston College, J.D., cum laude, 1978
Bryn Mawr College, A.B., cum laude, 1975
Colleen P. Mahoney heads the firm's Securities Enforcement practice, and regularly represents financial services firms, corporations, their boards, board committees, officers, directors and employees in Securities and Exchange Commission (SEC) and other law enforcement investigations.
Ms. Mahoney assists management and boards of directors performing internal investigations, often advising clients on preventive and remedial measures before and after securities-related issues arise.
Ms. Mahoney has been the lead attorney representing many of the company boards and individuals embroiled in signature SEC investigations. Her clients have included many well-known U.S. and foreign companies. As is frequently the case with SEC enforcement matters, the biggest victories are the ones that never become public – the government investigations and inquiries that are put to rest before charges are filed or an indictment is issued, or even before a public disclosure of the government interest. Ms. Mahoney has succeeded in bringing a number of matters to a close in those circumstances.
Prior to joining Skadden, Ms. Mahoney spent 15 years in increasingly senior positions with the SEC, serving as acting general counsel of the agency and as deputy director of the division of enforcement. During her tenure at the SEC, Ms. Mahoney helped manage a civil law enforcement program that addressed a wide range of issues, including financial fraud and disclosure, asset management issues, derivatives and insider trading.
Ms. Mahoney frequently lectures on securities regulatory and enforcement issues at seminars and conferences in the United States and abroad.
Ms. Mahoney has been selected for inclusion in Chambers USA: America's Leading Lawyers for Business, The International Who's Who of Corporate Governance Lawyers, Lawdragon 500 Leading Lawyers in America and The Best Lawyers in America. Since 2012, she has been recognized as one of Benchmark Litigation's "Top 250 Women in Litigation" and she also was named to the shortlist of the nation's top women regulatory lawyers by Chambers USA (2012). Additionally, Ms. Mahoney was included in Washingtonian Magazine's 2013 "Best Lawyers" list.
David B. Anders is a partner in Wachtell Lipton’s Litigation Department. His practice focuses on the representation of Fortune 500 and other companies in connection with the defense of regulatory, white-collar criminal and complex civil litigation matters. He also regularly advises clients in connection with internal investigations and corporate governance and compliance reviews.
Prior to joining the firm, Mr. Anders served as an assistant United States attorney for the Southern District of New York from September 1998 through December 2005. During his time at the United States Attorneys’ Office, he investigated and prosecuted a wide variety of securities, commodities, and other investment fraud schemes, money laundering, immigration, racketeering, and associated violent crime. He tried 13 felony cases to verdict, and briefed and argued numerous appeals before the United States Court of Appeals for the Second Circuit. He was involved in several significant prosecutions during that time, including the investigation and prosecution of the fraud at WorldCom.
Mr. Anders is a 1991 graduate of Dartmouth College with an A.B. in government and graduated from Fordham University School of Law in 1994. He served as law clerk to the Honorable Denny Chin of the United States District Court in the Southern District of New York (1995-96).
Mr. Anders is a 1991 graduate of Dartmouth College with an A.B. in government and graduate from Fordham University School of Law in 1994. He served as law clerk to the Honorable Denny Chin of the United States District Court in the Southern District of New York (1995-96)
Mr. Anders is a frequent speaker at bar associations and professional organizations on issues relating to securities and commodities fraud and internal investigations. He was an associate adjunct professor at Fordham University School of Law from 1997 through 2006. In 2005, The National Law Journal selected him as one of the country’s top 40 lawyers under 40. Mr. Anders is the President of the Board of Directors of the Fordham Law School Alumni Association and a director of several non-profit boards. Mr. Anders has been recognized by Chambers USA: Guide to America’s Leading Lawyers in Business as a leading lawyer in litigation; by Lawdragon as one of the 500 leading lawyers in America; by Benchmark: Litigation as one of the leading litigators in New York and in the country; and by Best Lawyers and Super Lawyers as one of the Leading lawyers in the field of Criminal Defense: White-Collar Crime. Mr. Anders served on the New York State White-Collar Task Force, which was charged with examining New York’s white-collar crime laws with the goal of recommending legislative and executive changes.
Honorable Denny Chin, United States District Court, Southern District of New York, 1995 – 1996
George S. Canellos is a partner in the law firm of Milbank LLP and heads its litigation department. In 2014, Mr. Canellos rejoined Milbank, where he had been a litigation partner from 2003 to 2009. Until January 2014, Mr. Canellos served as Co-Director of the Securities and Exchange Commission’s Division of Enforcement. He earlier served as the Division’s Acting Director and Deputy Director. In these positions, Mr. Canellos was responsible for supervising the SEC’s nationwide enforcement efforts. From July 2009 until May 2012, Mr. Canellos was Director of the SEC's New York Regional Office, which has responsibility for oversight of many of the leading broker-dealers, investment advisers, and other SEC-registered financial institutions. Mr. Canellos began his career as an associate at Wachtell, Lipton, Rosen & Katz. In 1994, he became an Assistant United States Attorney in the Southern District of New York. During almost nine years at the U.S. Attorney's Office, Mr. Canellos held a number of positions, including Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Unit, and Deputy Chief Appellate Attorney. Mr. Canellos is a graduate of Harvard College and Columbia University School of Law.
Janet A. Broeckel is a Managing Director and Associate General Counsel in Litigation and Regulatory Proceedings group at Goldman, Sachs & Co., where she focuses primarily on government investigations and inquiries, civil litigation, and internal investigations. Prior to joining Goldman in 2005, Ms. Broeckel was a litigation partner at the law firm Pillsbury Winthrop, LLP firm in New York, where she specialized in representing corporations and individuals in regulatory investigations and enforcement proceedings, white collar criminal securities matters, and securities class actions.
Prior to joining private practice, she served in the SEC’s Division of Enforcement in New York. Ms. Broeckel is a graduate of the University of Washington and the Washington College of Law, American University.
Joan McKown has more than 30 years of experience in Securities and Exchange Commission (SEC) enforcement and financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States. She has in-depth knowledge of investigatory issues relating to financial fraud, corporate disclosure, corporate governance, accounting, compliance, private equity, FCPA, broker dealer, investment adviser, investment companies, and insider trading. Joan represents corporations, and financial services firms, and their officers, directors, and employees, counseling them to avoid regulatory scrutiny, and when necessary, resolving matters on the best terms possible.
Prior to joining Jones Day in 2010, Joan was the longest serving chief counsel in the Division of Enforcement at the SEC, where she played a key role in establishing enforcement policies and worked closely with Commission and senior SEC staff. Joan literally wrote the book on SEC enforcement when she oversaw creation of the first version of the SEC Enforcement Manual. As chief counsel, she led hundreds of Wells meetings and settlement negotiations. At Jones Day, Joan has extensive experience submitting persuasive Wells submissions, having reviewed thousands of such submissions while on the SEC staff.
Joan is the chair of the board of trustees of the SEC Historical Society. She also serves as president of the board of trustees of the Legal Aid Society of the District of Columbia. She frequently speaks and writes on SEC enforcement related topics.
Katy Choo is Vice President & Chief Counsel, Global Investigations at GE, specializing in government and internal investigations in complex criminal and regulatory matters, compliance initiatives of the Company, and preventive law. Ms. Choo also is a member of GE’s Policy Compliance Review Board (PCRB), which oversees the Company’s strategic imperatives with respect to compliance. Ms. Choo also has primary responsibility for counseling GE’s businesses with respect to anti-corruption efforts globally relating to the Foreign Corrupt Practices Act and other anti-bribery laws and serves as primary compliance counsel to GE’s mergers and acquisitions transactions team. Ms. Choo has been the recipient of numerous awards at GE, including GE’s Chairman’s Award, the Company’s highest form of recognition.
Ms. Choo joined GE in 2003 after serving as an Assistant U.S. Attorney in the Southern District of New York, where she was Chief of the General Crimes Unit and a Deputy Chief in the Criminal Division. As a federal prosecutor, she specialized in prosecutions of white-collar offenses and twice was a recipient of the U.S. Department of Justice Director’s Award for Superior Performance and a recipient of the Federal Law Enforcement Officer Association’s Group Achievement Award. During her tenure in government, Ms. Choo tried numerous federal criminal trials to verdict and argued numerous appeals in the Second Circuit. Prior to her work as a federal prosecutor, she worked as an associate specializing in complex civil litigation at the law firm of Davis Polk & Wardwell. Ms. Choo is a graduate of Wellesley College (Durant Scholar, Phi Beta Kappa) and Columbia School of Law (Harlan Fiske Stone Scholar).
Lorin L. Reisner is a litigation partner at Paul, Weiss, Rifkind, Wharton & Garrison LLP in New York where his practice emphasizes white collar criminal matters, government investigations and complex business litigation. He has almost three decades of experience in senior government and private sector positions.
From January 2012 through June 2014, Mr. Reisner served as Chief of the Criminal Division of the U.S. Attorney's Office for the Southern District of New York, where he supervised the investigation and prosecution of federal crimes by a team of more than 160 Assistant U.S. Attorneys. The areas under his supervision included securities and commodities fraud, complex fraud and cybercrime, public corruption, terrorism and violent crime.
From 2009 until his appointment as Chief of the Criminal Division, Mr. Reisner served as the Deputy Director of the Enforcement Division of the U.S. Securities and Exchange Commission in Washington, DC. In that position, he helped set enforcement priorities, supervised the work of more than 900 investigative professionals nationwide and oversaw the trial and related litigation activity of the Enforcement Division. While at the SEC, Mr. Reisner helped oversee and implement the most significant reorganization of the Enforcement Division in more than thirty years and helped lead the Commission’s most significant enforcement matters. From 1996 through 2009, Mr. Reisner was a litigation partner at an international law firm based in New York.
Mr. Reisner served as an Assistant U.S. Attorney in the Southern District of New York from 1990-1994. He served as a law clerk to the Honorable Milton Pollack of the Southern District of New York from 1986-1987, received his undergraduate degree from Brandeis University in 1983 and his J.D. from Harvard Law School in 1986.
Mei Lin Kwan-Gett is Citigroup’s Deputy General Counsel and Head of Global Litigation and Regulatory Investigations, where she supervises a worldwide litigation and investigations team. Prior to joining Citigroup, Ms. Kwan-Gett was a partner at the law firm of Willkie Farr & Gallagher, LLP, where she was co-head of the firm’s white collar defense practice group and specialized in regulatory and enforcement matters, internal investigations, and complex commercial litigation. Prior to joining Willkie Farr, Ms. Kwan-Gett worked at the U.S. Attorney’s Office for the Southern District of New York as Deputy Chief of the Criminal Division. She also served as Special Investigative Counsel for the Office of the Inspector General for the U.S. Department of Justice. She began her career as a Law Clerk in the U.S. Court of Appeals for the Second Circuit.
Ms. Kwan-Gett is a former Chair of the Board of Directors of the City Bar Fund and was a Vice President of the Association of the Bar of the City of New York, and she is a member of the Practising Law Institute’s Board of Trustees.
Mei Lin earned her AB from Harvard College and her JD from Yale Law School.
Ms. Beamon, a partner in Davis Polk’s Litigation Department and a former federal prosecutor, has successfully represented individuals and institutions in their most critical situations. She is recognized by Chambers USA as a Band 1 lawyer for her work in the white collar and investigations space, with clients describing her as a “phenomenal lawyer” who is “very smart” and “incredibly strong” and who won praise for her handling of a number of “sophisticated cases.”
Her matters have included grand jury, regulatory and independent investigations, representing companies, board of directors and individuals in connection with allegations of sexual misconduct, securities fraud, criminal tax violations, foreign corrupt practices, anti-money laundering and pharmaceutical marketing violations, among other areas. Her complex civil matters have involved allegations under the False Claims Act, consumer protection and whistleblower provisions, and other state and federal statutes. Ms. Beamon also has participated in a number of confidential internal investigations on behalf of clients and has advised corporations and boards of directors on matters of corporate governance and compliance. In addition, the FBI requested that she train its agents on insider trading.
Ms. Beamon served as an Assistant U.S. Attorney for the U.S. Attorney’s Office, Southern District of New York, where she conducted numerous investigations and criminal trials. She received her J.D., summa cum laude, from University of Pittsburgh School of Law and her B.A., with honors, from University of Notre Dame.
Nancy Kestenbaum is a partner in Covington’s New York office and is Co-Chair of Covington's White Collar Defense and Investigations Practice Group. Earlier in her career, Nancy served for nearly ten years as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York. Over the past fifteen years while at Covington, Nancy has represented many companies, individuals and boards in a wide variety of criminal and civil enforcement investigations and internal investigations, including clients in the financial services, life sciences, energy, defense, consumer products and technology industries.
In the past several years, Nancy has been at the forefront of investigations of sexual misconduct and abuse. For example, Nancy represents the United States Olympic Committee and has led numerous investigations into these issues including for the Board of Directors of CBS; schools around the country such as Choate Rosemary Hall and schools in New York and California; and non-profits such as the Madison Square Boys & Girls Club.
Samuel J. Winer is a partner in the Washington, D.C. office of Foley & Lardner, specializing in the representation of public companies, board members, senior executives, auditors, and financial services firms before the SEC and other regulators.
Sandy graduated from Boston University School of Law in 1974, where he served as an editor in the law review. After graduation, he served as a law clerk to the Chief Justice of the Supreme Court of Rhode Island and as special counsel in the Division of Enforcement of the SEC before going into private practice. Sandy has been a partner at Foley since 1995.
Mr. Winer has also been selected by his peers to be included in The Best Lawyers in America© since 2006 and was named the Washington, D.C. Securities/Capital Markets Law Lawyer of the Year by Best Lawyers® in 2015 and the Washington, D.C. Litigation – Securities Lawyer of the Year in 2017. He was rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2009-2017 and one of the top regionally in the District of Columbia for 2007, 2008, and 2009. Mr. Winer was selected for inclusion in the Washington, D.C. SuperLawyers® lists for 2008-2017.
Tom Hanusik chairs Crowell & Moring’s Investigations Practice and is a partner in the firm’s White Collar & Regulatory Enforcement Group, which Law360 recognized as a "White Collar Group of the Year" and an "FCPA Powerhouse." InsideCounsel identified Tom as one of the "The Best Lawyers to Call in a Worst-Case Scenario" for a white collar investigation in its "Crisis Rolodex" and he was twice included on SecuritiesDocket's "Enforcement 40" list of the top SEC Enforcement attorneys. Tom is Chambers ranked in white collar & government investigations and has been recognized consistently in The Best Lawyers in America for white collar criminal defense and securities regulation.
Tom's practice focuses on DOJ white collar defense, SEC Enforcement, FINRA Enforcement and internal investigations. He leads internal investigations on behalf of companies, boards of directors and board committees, and he advises corporate clients on remedial measures, compliance programs and training. His recent engagements have focused on allegations of financial fraud, insider trading, FCPA violations, AML controls, federal and state tax offenses, public corruption, U.S. export controls and sanctions regulations.
Elaine H. Mandelbaum is General Counsel of Interactive Brokers LLC and Senior Vice President of IBG LLC, an automated global electronic broker-dealer. In her role, she is responsible for the global legal team of Interactive Brokers. Prior to that, Elaine worked for Citigroup for 21 years, most recently as Head of Litigation and Regulatory Investigations for Citi’s Institutional Clients Group (ICG). Prior to starting at Citigroup, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison.
Elaine is the immediate past President of the SIFMA Compliance & Legal Society, and has served on the SIFMA C&L’s Executive Committee for over a decade. Elaine was previously Vice Chair of the FINRA National Adjudicatory Council, the appellate body for decisions rendered in FINRA disciplinary and membership proceedings. Elaine serves on the Board of Directors of the Legal Action Center and of the National Council of Jewish Women, and was the recipient of the 2015 “Woman Who Dared” Award from the NCJW.
Elaine is a frequent speaker at PLI, SIFMA and other industry conferences on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry. She is an honors graduate of Yale College and of Harvard Law School.
Michael Delikat, a partner in the New York office, was the previous Chair of Orrick's Global Employment Law Practice for over twenty years, which has employment law teams in the European Union, Asia as well as the United States.
He also is the founder of the firm’s Whistleblower Task Force. He previously served as the Managing Director of Orrick’s Litigation Division.
Under Mike's leadership, Orrick’s Employment Law & Litigation group was recently named Labor & Employment Department of the Year in California for the fourth consecutive year by The Recorder, the premier source for legal news, in recognition of their significant wins on behalf of leading multinational companies on today’s most complex and challenging employment law matters. The practice group has also been chosen as one of the top national employment law practices by Law 360. Chambers USA and Chambers Global has ranked him in Band 1 since it began publishing its rankings, noting he is a "giant of the employment bar, widely regard as an expert in whistleblowing matters and sex harassment claims","sought out by premier clients to handle high-stakes employment litigation and investigations," and "a very persuasive advocate who knows the law inside out and is able to get to the heart of the issue very quickly."
He represents a broad range of major corporations and other institutions including law firms in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases.
He currently has an active practice representing a number of major corporations in the defense of Sarbanes-Oxley Act and other whistleblower claims and is the coauthor of the only extensive treatise published on whistleblowing and internal investigations, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era. He is regularly retained by boards of directors and audit committees to conduct high exposure internal investigations of corporate wrongdoing.
Mike is published and quoted frequently on a variety of employment law issues in major academic and business publications and is a frequent speaker at national and international programs. He is the outgoing management chair of the ABA International Employment Law Committee. He also is an Advisory Board Member of the Harvard Law School Program on Corporate Governance. About the HLS Forum on Corporate Governance (harvard.edu)
Rich is the leader of our White Collar & Investigations practice and a nationally recognized litigator in Securities and Exchange Commission (SEC) enforcement and other white collar matters. He brings decades of experience in over 250 SEC investigations, including some very high-profile matters the SEC has handled and he regularly handles Foreign Corrupt Practices Act (FCPA) cases, securities-related white-collar criminal matters and private securities litigation.
Drawing on his experience as a former branch chief with the SEC’s Division of Enforcement, Rich represents corporations, corporate executives, brokerage firms, investment advisers, accounting firms, auditors, law firms, hedge funds and individual investors in connection with SEC, Public Company Accounting Oversight Board (PCAOB), New York Stock Exchange (NYSE), Financial Industry Regulatory Authority (FINRA), congressional, state attorney general and grand jury investigations; SEC litigation; and complex securities cases.
Rich has had a significant role in various important matters, including: several CDO and RMBS investigations of investment banks and collateral managers; SEC and criminal investigations of Enron; investigations and litigations concerning possible insider trading involving the securities of Dick’s Sporting Goods, Liberty Media, Capital One, and Prestige Brands; investigations and litigation concerning trading by NYSE specialists; investigations of alleged FCPA violations by various financial institutions; investigations and litigation concerning merger activities of Wachovia Corporation and National City Corporation; investigations concerning transactions by MGIC, Royal Dutch Shell, HSBC, Lernout & Hauspie, Aetna, Denso Corporation, AG Edwards, Merrill Lynch and Credit Suisse; investigations concerning the financial statements and/or audits of Orange County, Citi, Navistar, Autonomy, Bally’s, CarMax, SteinMart, and Allegheny Health Systems; investigations into marketing and other activities of registered investment advisors (including Smith Barney Asset Management, Family Endowment Partners, UBS Asset Management, F Squared and Harbinger) and ETF sponsors (including Pro Shares and Wisdom Tree Investments); internal investigations at a Fortune 10 retailer, Aon Corporation, E*Trade, Nash Finch Corporation and TD Ameritrade; investigations and litigation related to alleged pricing violations by NASDAQ traders; investigations of auditing firms and audit partners from KPMG, E&Y, D&T, Friedman, and PWC International; and congressional investigations concerning, among others, Goldman Sachs and Riggs National Corporation.
Rich conducts internal investigations for corporations, and advises members of numerous special committees of boards of directors as to their rights and obligations regarding the handling and evaluation of corporate transactions, internal investigations and shareholder litigation. Additionally, Rich has litigated to a successful judgment a number of SEC enforcement cases and defended numerous class actions and shareholder derivative suits in federal courts throughout the country.
A well-known figure in the industry, Rich is a frequent speaker at professional seminars and serves as the co-chair of two PLI annual programs: “Internal Investigations” and “Auditor Liability.” He has served on the adjunct faculty of Georgetown University School of Law, teaching a course in “Professional Responsibility in Corporate and Securities Practice.”
Steven Peikin leads Sullivan & Cromwell’s Securities & Commodities Investigations & Enforcement Practice. He brings decades of experience at the most senior levels of government and in private practice to his representation of clients in a wide range of regulatory enforcement investigations, white-collar criminal matters, and internal investigations. He has particular expertise in matters involving the federal securities and commodities laws.
From 2017 to 2020, Mr. Peikin served as Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement, where he oversaw all aspects of the SEC’s national enforcement program, supervising its more than 1400 attorneys, accountants, and staff across its 12 offices.
During his prior tenure at the Firm, Mr. Peikin led S&C’s Criminal Defense & Investigations Group, advising clients in nearly every major enforcement initiative brought over the course of more than a decade. He represented institutions and individuals in numerous high-profile matters, including those involving alleged violations of federal securities and commodities laws, the FCPA, price-fixing, and compliance with economic sanctions and anti-money laundering regimes.
Before joining S&C, Mr. Peikin served for eight years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York, including as Chief of the Securities and Commodities Fraud Task Force.
Mr. Peikin has tried more than 20 criminal jury cases in federal court and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit.
Mr. Peikin clerked for J. Edward Lumbard, United States Circuit Judge for the Second Circuit and Robert P. Patterson, Jr., United States District Judge for the Southern District of New York. He graduated from Yale College and Harvard Law School, both magna cum laude.
Sung-Hee Suh is the Deputy Assistant Attorney General overseeing the Fraud, Appellate and Capital Case Sections in the Criminal Division of the U.S. Department of Justice. Her responsibilities include supervising cases involving the Foreign Corrupt Practices Act (“FCPA”), securities and commodities fraud, health care fraud and government program fraud, as well as formulating federal enforcement policies on white-collar crime and coordinating interagency, multi-district and international law enforcement efforts. Ms. Suh re-joined the Justice Department in September 2014 following 15 years at the New York law firm of Schulte Roth & Zabel LLP, where she was a partner in the Litigation Group and handled numerous securities and commodities fraud, FCPA, Bank Secrecy Act, anti-money laundering and economic sanctions matters. She previously served as an Assistant U.S. Attorney in the Eastern District of New York, including as Deputy Chief of the Organized Crime and Racketeering Section. She graduated from Harvard College, Harvard Graduate School of Arts and Sciences, and Harvard Law School.