Polly Greenberg is the Chief of the Major Economic Crimes Bureau at the New York County District Attorney's Office. She is responsible for managing prosecutors, investigators, analysts and paralegals who conduct investigations into securities and commodities fraud, large-scale mortgage and insurance fraud, Ponzi schemes, international money laundering, terrorist financing, sanctions evasion, asset forfeiture, tax crimes, human trafficking, and wiretap investigations. Polly joined the Office in 1993, starting in the Appeals Bureau and later serving in the Investigations Division. She conducted one of the Office's early enterprise corruption trials. After leaving the Office in late 2000 for private practice, Polly returned to the Office in 2005 and was assigned to the Rackets Bureau, where she conducted wiretap investigations into organized crime and prosecuted public corruption cases. She was part of teams that obtained enterprise corruption indictments against members and associates of the Genovese organized crime family for operating an illegal gambling ring out of the Hunts Point Market, and against 29 members and associates of the Lucchese organized crime family for charges including corruption at the New York City Department of Buildings. She graduated from Wesleyan University with High Honors in American Studies and attended New York University School of Law.
Andrew J. Levander is Chair of the firm's Policy Committee and a partner in the white collar and securities litigation group. A former Assistant U.S. Attorney for the Southern District of New York in the Securities and Commodities Fraud Unit, Mr. Levander is consistently recognized for excellence in the practice of law. Since 2004, he has been cited as a leading lawyer by Chambers USA, a referral guide to leading lawyers in the U.S. based on the opinions of their peers and clients. Mr. Levander represents parties in securities fraud and commercial litigation and criminal and regulatory investigations. In the maelstrom of investigations and litigation arising out of the world financial crisis, he has been retained to represent such high profile clients as Robert Diamond, former CEO of Barclays, Lehman Brothers' outside directors and John Thain, former CEO of Merrill Lynch. Mr. Levander has been integrally involved in the management of headline crises for such diverse clients as Takata Corporation (airbag recalls), Jon S. Corzine (MF Global collapse), Hewlett-Packard's special counsel committee (Hurd termination litigation), SAIC's board (CityTime contract scandal), and Monster Worldwide (options backdating investigation and litigation). In addition, he has taken a leading role in Dechert' s representation of a number of intermediary funds and investment managers in the Bernard Madoff scandal, including his representation of Ezra Merkin. Mr. Levander has regularly defended many public companies or their officers, directors and affiliates, including Biovail Corp., CHC Group Ltd., NCR Corporation, NFP Corp., Datascope Corporation, General Motors, GlaxoSmithKline, Hewlett-Packard, Hertz, Microsoft, Monster Worldwide, Motorola, OSI Pharmaceuticals, SAIC, Universal American Corp., and Walmart. He has also advised many of the leading financial institutions or their affiliates such as AIG, Bank of NY, Citigroup, Credit Suisse, GLG Man Group, Goldman Sachs, JP Morgan, Merrill Lynch, Morgan Stanley, the NYSE, RCS Capital Management LLC, and UBS. Mr. Levander has tried more than 50 cases, including several complex arbitrations. Drawing on his experience as a law clerk to the Honorable Wilfred Feinberg in the U.S. Court of Appeals for the Second Circuit, and as an Assistant to the Solicitor General, he also has an extensive appellate practice in both federal and state courts. He has litigated in courts across the country and has arbitrated before the American Arbitration Association, the New York Stock Exchange, the National Association of Securities Dealers, UNCITRAL and private arbitrators. Mr. Levander also has extensive international litigation experience and has handled numerous investigations arising under the FCPA and similar statutes. In 2012, he led the defense of Deutsche Bank in a billion dollar False Claims Act case brought by the U.S. Attorney's Office of the Southern District of New York and, in 2006, he negotiated a global settlement for BAWAG, Austria's fourth largest bank, with Refco's debtors, creditors, shareholders, bondholders and investors, as well as with the SEC and the DOJ. Mr. Levander has also been involved in successful mediations and arbitrations. Two notable arbitrations include a multi-million dollar settlement in a private arbitration between two well known investment banks involving a complex $100 million dispute arising out of the sale of a business, and a complete vindication of SkyLink Aviation, Inc., a Canadian company that provides helicopter and other aviation services around the world, in an international arbitration against the United Nations. Mr. Levander has written extensively on legal issues and co-authored Prevention and Prosecution of High Technology Crime, published by Matthew Bender, and Settlement Agreements in Commercial Disputes, published by Aspen Law & Business. For many years, he served as an adjunct professor of trial practice at New York University, and he has lectured at Columbia University Law School, Georgetown University Law Center, Yale Law School, The Federal Reserve Bank of New York, the ABA White Collar Crime Institute, SIFMA, the Practising Law Institute, and various bar associations and government agencies.
Jodi Misher Peikin is a principal of Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C. Her practice focuses on white-collar criminal defense and regulatory enforcement. She has significant experience in defending individuals and corporations under investigation, or charged with misconduct, by the Department of Justice, state and local prosecutors, the Securities Exchange Commission, and the Financial Industry Regulatory Authority. Ms. Peikin's representations have involved allegations of securities fraud, accounting fraud, bank fraud, insider trading, health care and medicare fraud, and theft of trade secrets. She also has conducted internal investigations for corporations and brokerage firms. In addition, she has represented financial institutions and individuals in arbitrations, complex civil litigation, and on appeal.
Jodi speaks and writes frequently on topics relating to white collar crime and regulatory issues. She
is a member of the Board of, and a contributor to, the Business Crimes Bulletin.
Benjamin Brafman is the principal of a seven-lawyer firm Brafman & Associates, P.C. located in Manhattan. Mr. Brafman’s firm specializes in criminal law with an emphasis on White Collar criminal defense.
Mr. Brafman, a former Assistant District Attorney in the Rackets Bureau of the New York County District Attorney’s Office, has been in private practice since 1980. He received his law degree from Ohio Northern University, in 1974, graduating with Distinction and serving as Manuscript Editor of The Law Review. He went on to earn a Masters of Law Degree (LL.M.) in Criminal Justice from New York University Law School. Mr. Brafman is a Fellow in the American College of Trial Lawyers and in 1997, was selected by New York Magazine as the "Best Criminal Defense Lawyer in New York." He was the recipient of the "Outstanding Private Criminal Defense Practitioner Award" for 2005 from the New York State Bar Association, and in March 2006 Mr. Brafman received the Norman Ostrow Award for outstanding achievement in the field of White Collar Criminal Defense by the New York Council of Defense Lawyers. In January 2007, Mr. Brafman was presented with the "first" ever Clarence Darrow Award for Distinguished Practitioner by the New York State Association of Criminal Defense Lawyers.
Mr. Brafman, has successfully represented a wide range of high-profile celebrities, prominent business leaders, lawyers, political figures and professionals in major criminal cases throughout the United States.
Christina Dugger is the Global Chief Compliance Officer for J.P. Morgan’s Corporate & Investment Bank (CIB) and the Firm’s broker-dealer, JP Morgan Securities LLC. She leads the global departments that create and implement CIB internal, policies and procedures that are consistent with the Firm’s standards and with applicable laws and regulations. Christina works with partners across the organization to proactively identify, evaluate and mitigate compliance, operational and reputational risks across the CIB and broker-dealer. Christina also oversees the Firm’s Commercial Banking Compliance program and global Surveillance, Control Room and Disclosure of Interest functions.
Prior to joining Compliance, Christina led the Firm’s Government Investigations and Regulatory Enforcement Group (GIRE), a team that represents JPMorgan Chase & Co. and its affiliates in non-routine investigations and matters involving governmental and regulatory authorities.
Christina spent more than a decade as a federal prosecutor in the U.S. Department of Justice. For two years, she served as the Chief Assistant U.S. Attorney for the Eastern District of New York under Loretta E. Lynch. She also served as an Assistant U.S. Attorney for nine years, during which she prosecuted a wide range of criminal cases and held numerous senior supervisory positions in Office’s Criminal Division.
Christina served as a law clerk to the Honorable Judith S. Kaye, Chief Judge of the New York State Court of Appeals. She received an A.B. from Columbia College and a J.D. from the Cornell Law School, where she was Managing Editor of the Cornell Law Review.
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
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.
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.
Marc P. Berger, former Acting Director and Deputy Director of the Division of Enforcement and Director of the New York Regional Office at the SEC, and former Chief of the Securities and Commodities Fraud Task Force in the U.S. Attorney’s Office for the Southern District of New York, represents companies, boards and executives in government and internal investigations, regulatory enforcement matters, and high-profile disputes.
As Acting Director and Deputy Director of Enforcement at the SEC, Marc oversaw thousands of investigations and hundreds of litigations addressing a broad range of securities matters, including issuer disclosure and accounting violations, foreign bribery, investment advisory issues, securities offerings, market manipulation, insider trading, broker-dealer misconduct, cyber threats, initial coin offerings, digital assets and COVID-related fraud. He first joined the SEC as Director of the New York Regional Office, where in addition to supervising all New York enforcement matters, Marc oversaw all of the New York office’s compliance examinations of investment banks, investment advisers, broker-dealers, mutual funds and hedge funds.
As a federal prosecutor, Marc tried 13 cases in district court and as Chief of the SDNY’s Securities Unit he supervised some of the nation’s most significant financial and investment fraud matters, including those related to corporate and accounting fraud, insider trading, market manipulation, and violations of the FCPA. Marc’s SEC and DOJ work involved extensive coordination of cross-border and multi-agency investigations.
In between Marc’s tenures at the SEC and DOJ, Marc was a litigation partner at another international law firm where he represented global financial institutions, public companies, investment firms and individuals in numerous high-profile matters.
Michael C. Neus is General Counsel of ExodusPoint Capital Management, LP. Mike is also an Adjunct Professor of Law at Fordham Law School, where he teaches a course entitled “Investment Management Regulation and Compliance.” Mike is a frequent author and lecturer on securities, compliance, hedge fund and private equity topics at industry events and for global regulators. Mike was previously Senior Fellow with the Program on Corporate Compliance and Enforcement at New York University School of Law in 2017-2018. From 2005 through 2016, Mike was responsible for all legal, compliance, human resource and administrative matters as Managing Partner and General Counsel of Perry Capital, LLC. Prior to joining Perry Capital in 2005, Mike was the Chief Operating Officer and General Counsel at RHG Capital, L.P., Chief General Counsel of Andor Capital Management, L.L.C., and General Counsel of Soros Private Funds Management LLC. Mike began his professional career as an associate at the law firm Coudert Brothers, in both the Singapore and New York offices. Mike is a Senior Fellow of the Regulatory Compliance Association and Vice Chair of the American Bar Association’s Business Law Sub-Committee on Institutional Investors. Mike is a former Director, Chairman of the Investment Advisory Subcommittee, and member of the Executive Committee of the Managed Funds Association. Mike received his J.D. from Columbia University School of Law and his B.A. from the University of Notre Dame.
Reed Brodsky is a partner in Gibson, Dunn & Crutcher's New York office. Mr. Brodsky is Co-Chair of Gibson Dunn's Crisis Management Practice Group and a member of the Securities Enforcement and White Collar Defense and Investigations Groups. He is a nationally recognized trial lawyer and litigator best known for his success as lead trial counsel in two of the most high-profile white collar criminal cases in recent memory, United States v. Raj Rajaratnam in 2011, and United States v. Rajat Gupta in 2012. Since joining Gibson Dunn, Mr. Brodsky has been a lead trial attorney in four high-profile trials, representing Chevron Corporation in Chevron v. Donziger et al. in 2013, AlixPartners in AlixPartners v. Thompson et al. in 2014, AIG's Lavastone Capital unit in Lavastone Capital LLC v. Coventry First LLC et al. in 2015, and Patriarch Partners/Lynn Tilton in SEC v. Patriarch in 2016. Before joining Gibson Dunn, Mr. Brodsky spent eight years serving as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York, where he won all seven of his white collar criminal trials and many non-white collar trials.
Mr. Brodsky’s areas of practice include trial work, white collar crime, securities enforcement proceedings, corporate internal investigations, compliance counseling and complex civil litigation. Mr. Brodsky has extensive experience representing institutions, hedge funds, issuers of securities, board committees and individuals in connection with investigations, litigation and SEC enforcement proceedings under the federal securities laws. Mr. Brodsky has counseled numerous hedge funds on securities trading and compliance matters.
Mr. Brodsky has received national recognition and many awards for his achievements and litigation skills. His litigation practice includes commercial disputes, civil litigation, and white-collar and securities enforcement matters. In 2018, U.S. Legal 500 ranked Mr. Brodsky as one of the leading lawyers at Gibson Dunn in corporate investigations; he was a leading lawyer on two separate litigation teams that won Benchmark Awards for high-profile commercial litigation matters; and was a Benchmark finalist as one of the top securities lawyers in the country. Mr. Brodsky is ranked among the top white collar litigators in New York by Chambers USA: America’s Leading Lawyers for Business, describing him as “a superstar” whom “you want in your corner when you’re stepping into the ring” with his “pragmatic and efficient approach.” Benchmark Litigation ranks him as a “Litigation Star.” Mr. Brodsky has been named as one of the “Top Rated White Collar Crimes Attorneys in New York,” by Super Lawyers, a leading investigations lawyer by Who’s Who Legal: Investigations, and a “Life Sciences Star” by LMG Life Sciences. Lawdragon Magazine cited Mr. Brodsky among the “500 Leading Lawyers in America” in 2012. Ethisphere Magazine named him one of 14 “Government Stars” in 2011. In 2012, Mr. Brodsky received the Attorney General’s Award for Distinguished Service; and in 2013, Mr. Brodsky received the Executive Office of U.S. Attorney’s Director’s Award for Superior Performance by a Litigative Team.
Richard B. Zabel is the General Counsel and Chief Legal Officer at Elliott Management Corporation. He is formerly the Deputy United States Attorney at the United States Attorney’s Office for the Southern District of New York. From October 2009 until October 2011, he was the Chief of the Criminal Division. From 1999 until 2009, prior to rejoining the U.S. Attorney’s Office, Mr. Zabel was a partner at the law firm Akin Gump Strauss Hauer & Feld LLP, where he was co-head of the firmwide litigation practice. His practice focused on white collar criminal defense, SEC investigations, corporate internal investigations, complex civil litigation and appeals.
Before joining Akin Gump, Mr. Zabel served for eight years as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York. During his tenure, he prosecuted a variety of cases involving securities fraud, obstruction of justice, racketeering, murder, firearms and narcotics charges, and argued numerous cases before the U.S. Court of Appeals for the Second Circuit. Mr. Zabel served as Chief of the Narcotics Unit at the U.S. Attorney’s Office and has received numerous awards, including the Attorney General’s Award for Distinguished Service and the Department of Justice Director’s Award for Superior Performance as an Assistant U.S. Attorney.
Mr. Zabel received his A.B. summa cum laude in 1983 from Princeton University, where he was a member of Phi Beta Kappa. He was a Fulbright Scholar to France. He received his J.D. in 1987 from Harvard Law School where he was an Ames Moot Court winner and Best Oralist. He teaches as an adjunct professor of National Security and Terrorism Investigations and Prosecutions at Columbia Law School. He has also taught Criminal Law at the Fordham University School of Law.
Richard J. Sullivan was sworn in as a United States Circuit Court Judge for the Second Circuit in October 2018. Before that, Judge Sullivan served for eleven years as a United States District Judge for the Southern District of New York. Prior to becoming a judge, he was General Counsel and Managing Director of Marsh Inc., the world's leading risk management and insurance brokerage firm. From 1994 to 2005, he served as an Assistant United States Attorney in the Southern District of New York, where he was Chief of the International Narcotics Trafficking Unit and Director of the New York/New Jersey Organized Crime Drug Enforcement Task Force. In 2003, he was awarded the Henry L. Stimson Medal from the Association of the Bar of the City of New York. In 1998, he was named the Federal Law Enforcement Association=s Prosecutor of the Year. Prior to joining the U.S. Attorney=s Office, he was a litigation associate at Wachtell, Lipton, Rosen & Katz in New York and a law clerk to the Honorable David M. Ebel of the United States Court of Appeals for the 10th Circuit. He is a graduate of Yale Law School, the College of William & Mary, and Chaminade High School on Long Island. From 1986 to 1987, he served as a New York City Urban Fellow under New York City Police Commissioner Benjamin Ward. Judge Sullivan is on the executive board of the New York American Inn of Court and the Center for Law and Religion at St. John’s University School of Law. He is an adjunct professor at Columbia Law School, where he teaches courses on sentencing and jurisprudence, and he previously served as an adjunct professor at Fordham Law School, where he taught courses on white collar crime and trial advocacy and was named Adjunct Professor of the Year.
Steven Peikin was named Co-Director of the SEC’s Division of Enforcement in June 2017.
Before serving at the Commission, Mr. Peikin was Managing Partner of Sullivan & Cromwell LLP’s Criminal Defense and Investigations Group. His practice focused on white-collar criminal defense, regulatory enforcement, and internal investigations.
From 1996 to 2004, Mr. Peikin served as an Assistant U.S. Attorney in the Southern District of New York. He was Chief of the Office’s Securities and Commodities Fraud Task Force, where he supervised some of the nation’s highest profile prosecutions of accounting fraud, insider trading, market manipulation, and abuses in the foreign exchange market. As a prosecutor, Mr. Peikin also personally investigated and tried a wide variety of cases involving securities and commodities fraud, as well as other crimes.
Mr. Peikin received his bachelor’s degree from Yale University and a law degree from Harvard Law School, both magna cum laude. Following law school, he served as a law clerk to the Honorable J. Edward Lumbard, United States Circuit Judge, Second Circuit, and the Honorable Robert P. Patterson, Jr., United States District Judge, Southern District of New York.
Mr. Peikin is Adjunct Professor of Law at NYU Law School and a Visiting Scholar at Harvard Business School. He is President of the Board of Directors of the Center For Hearing and Communication, a non-profit health and human services agency that serves the deaf and hard of hearing.
Susan E. Brune has been consistently recognized for excellence in the practice of law. Chambers USA has identified Susan Brune as a “Star Individual,” an elite ranking above “Band 1.” Singling her out as “incredibly adept at seeing the big picture and understanding the detail” and as a “very tenacious advocate for her clients,” Chambers states that she “excels in the representation of high-profile individuals” and is known as “an incredibly gifted trial attorney.” According to Chambers, she commands respect for her outstanding credentials, with sources reporting: “She is one of the stars of her generation, hands-down one of the best in the city. She has the ability to take a case through trial, which gives her tremendous leverage and credibility in the pretrial phase.”
Susan is focused on efficiently solving her clients’ problems, whether they involve commercial disputes or contacts with prosecutors or regulators. In the white collar sphere, Susan has repeatedly warded off indictment and regulatory charges through sound strategic choices, meticulous preparation and forceful advocacy. When cases are brought, she is equally effective. A seasoned trial lawyer, she achieved a complete victory for a private equity investor in an enforcement case in the SEC’s administrative forum. She also obtained the acquittal of a Bear Stearns hedge fund manager in a federal jury trial.
Before starting her private practice, Susan served as a federal prosecutor in Manhattan.
Valerie A. Szczepanik is Senior Advisor for Digital Assets and Innovation and an Associate Director for the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC). Before that, she served as Assistant Director in the Division of Enforcement’s Cyber Unit. She is Head of the SEC’s Distributed Ledger Technology Working Group, Co-Head of its Dark Web Working Group, and a member of its FinTech Working Group. Ms. Szczepanik served as a Special Assistant United States Attorney at the United States Attorney’s Office for the Eastern District of New York. She clerked for federal judges on the United States District Court for the District of Columbia and the United States Court of Appeals for the Federal Circuit and, prior to clerking, practiced patent law. Ms. Szczepanik received her JD from Georgetown University and her Bachelor of Science degree in Engineering from the University of Pennsylvania.
Anjan Sahni is a highly experienced litigator who has overseen some of the most significant white collar and securities fraud prosecutions in recent years. Mr. Sahni rejoined the firm after more than a decade as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where he recently served as Chief of the Securities and Commodities Fraud Task Force and Co-Chief of the Terrorism and International Narcotics Unit.
As Chief of the Securities and Commodities Fraud Task Force, Mr. Sahni supervised investigations and prosecutions involving insider trading, accounting fraud, corporate fraud, market manipulation, commodities fraud, investment advisory fraud, violations of the Bank Secrecy Act and Foreign Corrupt Practices Act, and fraud involving complex financial instruments. In that role, he regularly coordinated criminal investigations with an array of different civil regulators, including the SEC, CFTC, Federal Reserve, FINRA, OCC, FinCEN and NYDFS.
Prior to supervising the Securities and Commodities Fraud Task Force, Mr. Sahni served as the Co-Chief of the Terrorism and International Narcotics Unit. In that role, he oversaw investigations and prosecutions involving domestic and international terrorism, arms trafficking, counterintelligence, piracy, money laundering, violations of export controls and economic sanctions laws, and global narcotics trafficking. He was the co-prosecutor of notorious arms dealer Viktor Bout and oversaw the successful prosecution of would-be Times Square bomber Faisal Shahzad.
After receiving his law degree from Yale Law School, Mr. Sahni clerked for the Honorable Pierre N. Leval of the United States Court of Appeals for the Second Circuit, after which he joined WilmerHale as a litigation associate.
Mr. Sahni has been regularly recognized by the legal community for his corporate investigations, financial services litigation and white-collar criminal defense expertise. For the past three years he’s been named one of the world's leading lawyers for business by Chambers USA in the New York white-collar crime and government investigations litigation category.
Joshua Berman, co-head of Katten’s White Collar Defense, Internal Investigations and Compliance practice, represents high-profile clients in notable white collar criminal and regulatory investigations, complex civil litigation, federal appellate litigation and compliance matters. He regularly conducts sensitive internal investigations for major corporate clients in the United States and overseas, and is experienced in handling Foreign Corrupt Practices Act (FCPA), securities fraud, environmental, antitrust, and health care fraud and abuse matters throughout the world.
Josh, an experienced appellate litigator, briefed and argued a number of cases before the US Courts of Appeals for the District of Columbia, Second, Fifth and Ninth Circuits. He was appointed by the US Sentencing Commission to serve as a member of its Practitioners Advisory Group.
He served as a senior federal prosecutor at the Department of Justice and the US Attorney’s office for the Southern District of New York. As an Assistant US Attorney, Josh investigated, prosecuted and tried cases relating to white collar crime, securities fraud, health care fraud, public corruption, obstruction of justice, bank fraud, anti-piracy and copyright infringement, money laundering, environmental, racketeering, cybercrime, espionage, counter-terrorism, and organized and violent crime. He was on an elite team of prosecutors who investigated and prosecuted al Qaeda members and associates overseas and within the United States.
In 2001, he served as Associate Investigative Counsel on the Webster Commission, leading one of the teams that reviewed the FBI’s national security and counterintelligence programs in the wake of FBI Special Agent Robert Hanssen’s espionage. In 2002, Josh joined the Department of Justice’s Public Integrity Section, where he investigated and prosecuted cases across the country relating to bribery, mail and wire fraud, and federal campaign and election laws.
He served as an adjunct professor of law at Columbia Law School, Georgetown University, American University, The George Washington University, The Catholic University of America and Benjamin N. Cardozo School of Law, where he taught courses on white collar crime, federal prosecutions and cybercrime. Josh regularly provides commentary and insight on legal issues, recently providing his thoughts to The New York Times, The NewsHour with Jim Lehrer, CNN, The Wall Street Journal, Good Morning America, Nightline, Bloomberg, Chicago Tribune, CNBC and MSNBC, TIME, Legal Times, The Los Angeles Times, USA Today, NPR, Roll Call, Sports Illustrated, The Hill, The New York Sun, The Sporting News and The News & Observer.
JD, University of Michigan Law School, magna cum laude, Order of the Coif
BA, Cornell University, magna cum laude
Mr. Hotz, a former federal prosecutor, represents individuals and corporations in white collar matters and related civil litigation. Prior to joining Akin Gump in 2004, Mr. Hotz served for more than five years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York and was a member of the Securities and Commodities Fraud Task Force. He was co-lead prosecutor in the successful insider trading prosecutions arising out of the leak of the U.S. Treasury Department’s decision to suspend issuance of the 30-year bond.
Mr. Hotz is a member of the New York Council of Defense Lawyers and the New York State Bar Association Committee on White Collar Criminal Litigation. He has written and spoken on developments in white collar crime.
Mr. Hotz’s recent matters include:
James J. Benjamin Jr. is a leader of Akin Gump’s white-collar defense and global investigations practice group. He represents banks, public companies, private investment funds, broker-dealers, and proprietary trading firms—as well as their key executives and traders—in investigations and enforcement proceedings arising under the federal securities and commodities laws.
Jim is described by Chambers USA as a “truly outstanding” lawyer who is “smart, hard-working, compassionate, and creative” and is “sought out by clients for his ‘strong and calming influence.’” According to Chambers, Jim “draws widespread acclaim” and is "just superb - a wonderful lawyer with terrific strategic judgment and a wonderful bedside manner.”
He represents companies and individuals in complex, high-pressure investigations and enforcement proceedings related to insider trading; anti-bribery and FCPA; improper accounting and disclosure; market manipulation, disruptive trading, and other violations; anti-money laundering and the Bank Secrecy Act; and anticompetition.
Jim is a graduate of Dartmouth College, magna cum laude, and the University of Virginia School of Law, where he served as the Research and Projects Editor of the Virginia Law Review. After law school, he clerked for Judge J. Frederick Motz in the District of Maryland and Justices Lewis F. Powell, Jr. and John Paul Stevens of the U.S. Supreme Court.
Before joining Akin Gump in 2001, Jim served as an Assistant U.S. Attorney in the U.S. Attorney’s Office in the Southern District of New York, including as deputy chief appellate attorney and as a member of the Securities and Commodities Fraud Task Force.
Andrew M. Calamari is the Director of the Commission’s New York Regional office. He served as Associate Director and co-head of Enforcement in New York for eight years before assuming his present position. Before coming to the Commission in 2000, Mr. Calamari was engaged in private law practice for nearly 15 years, including as a litigation partner at Donovan Leisure Newton & Irvine. He has co-authored a treatise on Complex Litigation and is co-author of the securities litigation chapter in a Matthew Bender treatise on securities law.
John Carroll represents institutional and individual clients in criminal, regulatory and complex civil disputes. He has extensive experience representing clients in domestic and multinational criminal and regulatory investigations relating to alleged financial
fraud, corrupt payments, online gaming and other matters. Mr. Carroll regularly counsels financial institutions and their senior officers in matters involving the Department of Justice, the Securities and Exchange Commission and state attorneys general. He has tried numerous criminal and commercial cases.
Mr. Carroll has been active in representing financial institutions and their senior officers in investigations arising out of the 2008 market collapse and in representing global companies in connection with corrupt payment allegations. Mr. Carroll is also representing clients in connection with the Department of Justice’s insider trading investigations of the ties between hedge funds and so-called “expert networks.”
Mr. Carroll formerly served as the chief of the Securities and Commodities Fraud Task Force in the Southern District of New York. He also was a member of the U.S. Attorney General’s Economic Crimes Council and the Department of Justice’s Securities and Commodities Fraud Working Group.
Mr. Carroll repeatedly has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business, among other publications. He was profiled in an article by Law360 that named Skadden as a “White Collar Group Of The Year” for 2010.
J.D., New York University School of Law
B.A., Yale University
New York, U.S. District Court for the Southern District of New York
“The Long Arm of the Law,” Legal Week, May 27, 2010
“Wiretaps for Dummies,” New York Law Journal, February 8, 2010
“The Incredible Shrinking FCPA Facilitation Payment Exception,” New York Law Journal, October 13, 2009
Dave Rody is a former federal prosecutor with extensive trial and investigative experience in both the public and private sectors, including as a long-time senior unit chief in the U.S. Attorney’s Office for the Southern District of New York. He has served as lead or co-lead counsel in more than a dozen significant federal jury trials, on charges ranging from insider trading and drug diversion, to terrorism and capital murder. Mr. Rody has also directed hundreds of investigations in a wide variety of matters, including securities fraud, bank fraud, mail fraud, money laundering, off-label promotion, obstruction of justice, extortion, narcotics trafficking, and racketeering. During his years of government service, Mr. Rody earned a reputation as one of the most experienced and successful trial lawyers in the U.S. Attorney’s Office, convicting all defendants in all trials, including several that lasted two months or more. Mr. Rody has also briefed and argued numerous criminal appeals before the U.S. Court of Appeals for the Second Circuit.
Mr. Rody’s practice focuses on white collar criminal defense, securities enforcement matters, FDA and healthcare enforcement matters, internal corporate investigations, corporate compliance counseling, and complex commercial litigation. He regularly represents individuals and corporations before the Department of Justice, the Securities and Exchange Commission, the New York State Department of Financial Services, and other government and regulatory agencies.
Mr. Rody’s recent engagements include:
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Marshall L. Miller is a Senior Fellow at New York University’s Program on Corporate Compliance and Enforcement.
Until July 2015, Mr. Miller served as the Principal Deputy Assistant Attorney General and Chief of Staff of the Criminal Division of the Department of Justice (DOJ). In that position, Mr. Miller supervised over 600 federal prosecutors and oversaw critical investigative, charging, and litigation decisions for DOJ’s highest profile prosecutions. Mr. Miller also played a key role in determining, implementing, and explaining DOJ priorities, initiatives, and policies, including testifying on Capitol Hill, briefing Congressional staff, and advising executive branch officials. Mr. Miller joined DOJ’s Criminal Division from the United States Attorney’s Office for the Eastern District of New York (EDNY), where he worked as an Assistant United States Attorney for approximately 12 years. At the EDNY, Mr. Miller served in a number of leadership positions, ultimately as the Chief of the Criminal Division.
Mr. Miller has conducted and supervised the prosecution of numerous complex cases, involving charges ranging from terrorism and violent crime to corruption and financial fraud, including cases resulting in convictions of some of the world’s largest corporations, corporate executives, members of Congress, and international terrorists. For his work, Mr. Miller has received a number of DOJ’s highest awards, including an Attorney General’s Award for Excellence in Furthering the Interests of National Security and a Director’s Award for Superior Performance. He has also received awards from the New York City Bar Association, the Director of National Intelligence, and the Federal Law Enforcement Foundation. In 2009, Mr. Miller was recognized for the most outstanding performance by an AUSA at the Department of Justice by the National Association of Former United States Attorneys.
Mr. Miller has also engaged significantly in the teaching of law, both as a full-time and adjunct professor. In 2006, Mr. Miller co-founded the EDNY Federal Criminal Prosecution Clinic at New York University (NYU) Law School, and taught as an adjunct clinical professor in the clinic from 2006 through 2012. Previously, from 2003 through 2005, he taught full-time at NYU Law School’s Lawyering Program. Mr. Miller also taught National Security Law as an adjunct professor at Fordham Law School in 2012. Mr. Miller clerked for the Honorable Allyne R. Ross, United States District Judge for the Eastern District of New York. He earned both his J.D. and B.A. from Yale.