Robert C. Balfe
Position/Title: Vice President and General Counsel, Global Investigations
Firm or Place of Business: Walmart
Vice President and General Counsel, Global Investigations
December 2013 – Present
October 2010 – December 2013
January 2009 – October 2010
United States Attorney
U.S. Department of Justice
November 2004 – January 2009
State of Arkansas - 19th Judicial District Prosecutor
March 1995 – November 2004
David S. Krakoff is a Partner in the Washington, DC office of BuckleySandler LLP. Mr. Krakoff counsels corporations and corporate executives in all aspects of criminal and related civil and administrative matters.
With more than 30 years’ experience representing individual and corporate clients in high-stakes criminal and complex civil litigation and enforcement cases throughout the country, Mr. Krakoff’s experience spans a variety of SEC enforcement, grand jury, and trial matters, involving accounting fraud, securities, tax, foreign corrupt practices, public corruption, antitrust, healthcare, export control, False Claims Act, trade secrets and environmental matters. Mr. Krakoff’s experience includes federal and state trials, with primary trial responsibility in more than 50 cases. In 2009, he represented a former executive of W.R. Grace & Co. in a lengthy criminal trial in the District of Montana that ended in an acquittal of all charges. In 2011-12, he represented an individual in the FCPA Sting Case criminal trial in the District of Columbia that ended in a hung jury mistrial and the later dismissal of all charges by the Department of Justice. Mr. Krakoff represented the controller of Fannie Mae in parallel proceedings including an eight year securities class action that ended in summary judgment for the controller.
Prior to joining BuckleySandler, Mr. Krakoff was co-leader of the global litigation practice of an international law firm. In addition to his experience in private practice, Mr. Krakoff was an Assistant U.S. Attorney in the U.S. Attorney's Office for the District of Columbia for 10 years.
Mr. Krakoff is recognized as a leading Litigation lawyer by Chambers USA: America’s Leading Lawyers for Business (2006-2015). In their 2015 edition, Chambers described Mr. Krakoff as "extremely thoughtful and imaginative in developing investigation and trial strategy." He was also recognized in Legal 500 as a "great lawyer and great guy." Mr. Krakoff has also earned recognition from Best Lawyers in America (2006-2016), Super Lawyers (2007-2015), Washingtonian Magazine Top Lawyers (2007, 2013, 2015), Who's Who Legal (Business Crime Defence 2015; 2015 Compendium), International Who’s Who of Business Lawyers (2012-2013) and Business Crime Defense Lawyers (2012-2013), and Best Lawyers in Washington (2006-2013). In 2015 he was named a Law360 Trial Ace and a National Law Journal White Collar Trailblazer.
Mr. Krakoff received his J.D. from Antioch School of Law in 1975 and his A.B. from Dartmouth College in 1971.
Anti-Money Laundering & Economic and Trade Sanctions
Bank Director & Officer Defense
Complex Civil Litigation
Counseling & Compliance
False Claims Act & FIRREA
Foreign Corrupt Practices Act & Anti-Corruption
Securities Litigation, Enforcement & Regulatory
Whistleblower & Qui Tam
District of Columbia
U.S. District Court (DC)
U.S. Court of Appeals (5th and DC Circuits)
U.S. Supreme Court
James Johnson is a litigation partner who focuses his practice on white collar criminal defense, internal investigations, corporate compliance and corporate crisis management in connection with internal investigations. Mr. Johnson is recognized as a leading lawyer in white collar criminal defense and is commended in The Legal 500 US (2007) for his ‘calm and methodical demeanor’ as well as his ‘clear sense of high ethics and morals’.
Most recently, Mr. Johnson was lead enforcement counsel for the team representing Toyota Motor Corporation and Toyota Motor Sales USA in connection with investigations into reports that drivers of certain models were experiencing unintended acceleration. The team resolved investigations being conducted by the U.S. Attorney’s Office for the Southern District of New York and the attorneys general for 29 states and American Samoa.
Mr. Johnson has the distinction of having held several senior positions in the United States Department of the Treasury, including Under Secretary of the Treasury for Enforcement (1998-2000) and Assistant Secretary of the Treasury for Enforcement (1996-1998). He oversaw the operations of the Bureau of Alcohol, Tobacco & Firearms, the Secret Service, the United States Customs Service, the Federal Law Enforcement Training Center, the Financial Crimes Enforcement Network and the Office of Foreign Assets Control. In total, Mr. Johnson oversaw approximately 29,000 employees and shared oversight of an operating budget exceeding $4.2 billion. Mr. Johnson also served as an Assistant U.S. Attorney for the Southern District of New York (1990-1996), where he rose to Deputy Chief of the Criminal Division (1993-1996). During his tenure in the Southern District, he assisted in the management of the Criminal Division while prosecuting a wide variety of criminal cases, and was detailed to the United States Department of the Treasury to serve on the White House Security Review.
Since returning to private practice, Mr. Johnson has represented individuals, audit committees and corporations in connection with a wide variety of regulatory, enforcement and Congressional matters, and has taken on several high profile public projects. He now serves as Monitor in U.S. ex rel. Anti-Discrimination Center of NY v. Westchester County. He also led Governor Corzine’s Advisory Committee on Police Standards.
Mr. Johnson has received numerous awards for his service and accomplishments in both private practice and public service. He is the recipient of the Alexander Hamilton Award (the Department of Treasury’s highest award, given to officials for excellence in service) and the Attorney General’s Certificate for Excellence in Prosecution. Mr. Johnson was recently elected as a member of the Harvard College Board of Overseers. He is former Chair of the Board of the Brennan Center for Justice and is also a trustee of the Montclair Art Museum.
John F. Savarese has been a partner in the litigation department of Wachtell, Lipton, Rosen & Katz for over 25 years.
Mr Savarese worked in the United States Attorneys' Office for the Southern District of New York, where he received the Attorney General's John Marshall Award for Outstanding Legal Achievement, and also served as Chief Appellate Attorney.
Mr Savarese teaches a course on white-collar criminal law at Harvard Law School, serves on the executive committee of the New York City Bar Association, and is a member of the American Law Institute. Mr Savarese is chairman of the Vera Institute of Justice in New York, a member of the Dean's Advisory Board at Harvard Law School, and a member of the board of the Lawyers' Committee for Civil Rights Under Law.
Mr Savarese graduated from Harvard University in 1977 and received his JD from Harvard Law School in 1981, where he was an editor of the Harvard Law Review.
Joseph Warin is chair of the nearly 200-person Litigation Department of Gibson Dunn’s Washington, D.C. office, and he is co-chair of the firm’s global White Collar Defense and Investigations Practice Group. He served as Assistant United States Attorney in Washington, D.C., and was awarded a Special Achievement award by the Attorney General. As a prosecutor, he tried more than 50 jury trials.
Mr. Warin’s areas of expertise include representation of corporations in complex civil litigation, white collar crime, and regulatory and securities enforcement – including Foreign Corrupt Practices Act investigations, False Claims Act cases, special committee representations, compliance counseling and class action civil litigation. His clients have included corporations, officers, directors and professionals in regulatory, investigative and trial matters. Mr. Warin has been selected to serve on insurance company panels for securities class actions. He is a member of the Board of the International Association of Independent Corporate Monitors.
Mr. Warin is continually recognized annually in the top-tier by Chambers USA, Chambers Global, and Chambers Latin America for his FCPA, fraud and corporate investigations expertise. Who’s Who Legal named Mr. Warin to their 2019 "Thought Leaders: Global Elite" list for Business Crime Defense - Corporate and Investigations. In 2018, Mr. Warin was selected by Chambers USA as a “Star” in FCPA, a “Leading Lawyer” in the nation in Securities Regulation: Enforcement, and a “Leading Lawyer” in the District of Columbia in Securities Litigation and White Collar Crime and Government Investigations. In 2017, Chambers USA honored Mr. Warin with the Outstanding Contribution to the Legal Profession Award, calling him a “true titan of the FCPA and securities enforcement arenas.” He has been listed in The Best Lawyers in America® every year from 2006 - 2018 for White Collar Criminal Defense. He has been recognized by Benchmark Litigation as a U.S. White Collar Crime Litigator “Star” for nine consecutive years (2011-2019).
Mr. Warin’s group was recognized by Global Investigations Review in 2018 and three years previously as the leading global investigations law firm in the world. Global Investigations Review reported that Mr. Warin has now advised on more FCPA resolutions than any other lawyer since 2008. He has been hired by audit committees or special committees of public companies to conduct investigations into allegations of wrongdoing in a wide variety of industries including energy, oil services, financial services, healthcare and telecommunications.
Katy Choo is Chief Investigative & Anti-Corruption Counsel 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 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).
Mike Delikat, a partner in the New York office, is the founder of the firm’s Whistleblower Task Force.
Chambers Global 2018 Guide lists Mike as one of only nine Band 1 ranked Labor and Employment attorneys in the United States. Under Mike's leadership as the Global Practice Group Leader for over twenty years, Orrick’s Employment Law & Litigation group was named Employment 360 Practice Group of the Year on multiple occasions including for 2018 and has received multiple other awards.
He represents a broad range of major corporations with a focus on the financial services industry in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases. He is a leading lawyer representing companies in whistleblower matters and frequently is called on to conduct high level and sensitive internal investigations by boards of directors. He is the co-author of PLI's Corporate Whistleblowing in the Dodd-Frank/Sarbanes Oxley Era, the leading treatise on that subject. He also has an active practice advising companies and Boards of Directors on #Metoo investigations and gender pay equity litigation and strategy responding to shareholder proposals.
Mr. Brenner has been Chief Counsel of the SEC’s Enforcement Division since January 2011. He also is Adjunct Professor at the Columbus School of Law, Catholic University of America.
Prior to joining the SEC, he was a partner at Wilmer Cutler Pickering Hale and Dorr LLP. At WilmerHale, he was Vice-Chair of the firm’s Securities Department, and his practice focused on securities enforcement, related civil and criminal litigation, and internal corporate investigations.
Mr. Brenner served as a Court Law Clerk for the U.S. Court of Appeals for the District of Columbia Circuit. He graduated from Georgetown University Law Center, and received his undergraduate degree from Cornell University.
Ms. Beamon, a partner in Davis Polk’s Litigation Department and a former federal prosecutor, has successfully represented individuals and institutions in their most critical situations.
Her matters have included grand jury, regulatory and independent investigations, representing companies, board of directors and individuals in connection with allegations of sexual misconduct, securities fraud, criminal tax violations, foreign corrupt practices, anti-money laundering and pharmaceutical marketing violations, among other areas. Her complex civil matters have involved allegations under the False Claims Act, consumer protection and whistleblower provisions, and other state and federal statutes. Ms. Beamon also has participated in a number of confidential internal investigations on behalf of clients and has advised corporations and boards of directors on matters of corporate governance and compliance.
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, a partner in Covington's New York office, is Co-Chair of Covington’s White Collar Defense and Investigations Practice Group. She represents companies, boards of directors and individuals in a variety of white collar criminal, SEC and regulatory enforcement matters and internal investigations. Ms. Kestenbaum has extensive experience representing clients in the financial services, life sciences, energy, defense, consumer products and technology industries.
Ms. Kestenbaum is also widely recognized as a leading expert involving claims of sexual misconduct. For example, she is currently conducting an independent investigation for the Board of Directors of CBS Corporation and represents the United States Olympic Committee; Ms. Kestenbaum previously conducted independent investigations for Choate Rosemary Hall, the Brearley School, and other institutions.
Before joining Covington, Ms. Kestenbaum served for nine years as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where she investigated and prosecuted numerous cases including securities fraud, tax offenses, bank fraud, money laundering, obstruction of justice, civil rights violations, bribery and perjury, and served as Chief of the General Crimes Unit and Deputy Chief of the Criminal Division, where she supervised and trained dozens of other prosecutors.
Richard J. Morvillo, a partner in Orrick’s New York and Washington, D.C. offices, is a nationally-recognized expert in SEC enforcement and other white collar matters. He was named by Best Lawyers in America as the “2013 Lawyer of the Year - Securities Litigation” and Chambers USA has recognized Rich as “one of the deans of the securities enforcement bar." Over the past 35 years, he has been involved in over 200 SEC investigations, including some of the highest profile cases the SEC has handled. He also has extensive experience in FCPA cases, securities related white-collar criminal matters and private securities litigation. A former branch chief with the Securities and Exchange Commission'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, PCAOB, NYSE, FINRA, congressional, state attorney general and grand jury investigations; SEC litigation; and complex securities cases.
Roberto Finzi is a partner in the Litigation Department, co-chair of the White Collar & Regulatory Defense Group, and a former federal prosecutor. His practice focuses on white collar matters, including grand jury and regulatory investigations, enforcement proceedings, and internal investigations. Since his return from government service in 2006, he has represented individuals and organizations in many of the most recent law enforcement initiatives, including prosecutions and investigations involving insider trading, accounting fraud, health care fraud, criminal anti-trust and violations of the Foreign Corrupt Practices Act. His practice includes representing clients in all aspects of government inquiries, from the investigation stage through trial. His practice also includes providing counsel to clients on all areas of criminal and regulatory investigations and enforcement proceedings.
Between February of 1999 and his return to Paul, Weiss in January of 2006, Roberto was an Assistant United States Attorney in the United States Attorney’s Office for the Southern District of New York. In his seven years as a federal prosecutor, Roberto handled a wide variety of criminal investigations and prosecutions, conducting numerous jury trials in the district court and briefing and arguing numerous appeals before the Second Circuit. In 2003, Roberto became a member of the Southern District’s Securities & Commodities Frauds Task Force. In that role, he investigated and tried a variety of cases involving, among other things, accounting fraud, investment advisor fraud and market manipulation. Mr. Finzi has been recognized by Chambers USA as a leading lawyer in Litigation: White Collar Crime & Government Investigations. Mr. Finzi is also recognized by Legal 500 in Litigation: White-Collar Criminal Defense. In 2014, Mr. Finzi was named a “Future Star” by Benchmark Litigation.
Roberto served as an article editor for the Cornell Law Review and as a law clerk to the Honorable Joseph L. Tauro, United States District Judge.
Sandra M. Hanna represents public companies, boards of directors, senior officers, broker-dealers, investment advisers and other companies and individuals in civil, criminal and regulatory matters, including investigations by the Securities and Exchange Commission, Department of Justice, FINRA, SIGTARP and various other state and federal agencies. Her recent representative matters include cases concerning public company financial reporting and disclosure, the Foreign Corrupt Practices Act, and insider trading. Ms. Hanna has significant experience counseling broker-dealers and hedge funds in connection with regulatory and compliance issues, and has successfully guided clients through extensive examinations by the SEC and FINRA. Ms. Hanna also maintains an active civil litigation practice in securities class action and related commercial matters.
Ms. Hanna is recognized as a nationwide leader in securities enforcement matters in the 2014 and 2015 editions of Chambers USA: America’s Leading Lawyers for Business and was recognized as a leading attorney in the area of Securities Regulation in the 2016 edition of The Best Lawyers in America®. She has authored articles on securities enforcement matters and is a regular speaker at industry conferences. Ms. Hanna serves as the Co-Chair of the DC Bar Committee on Broker-Dealer Regulation and SEC Enforcement.
Prior to co-founding the firm, Ms. Hanna worked at Willkie Farr & Gallagher LLP, Foley & Lardner LLP and Morrison Foerster. During law school, Ms. Hanna participated in the Summer Honors Program at the Securities and Exchange Commission, in the Division of Enforcement. Prior to attending law school and business school, she ran an entertainment company, where she managed the professional and business careers of a number of Grammy Award-winning artists.
Ms. Hanna graduated from the United Nations International School in New York City, and from Tufts University (B.A. Sociology, 1993). She received a law degree and her MBA from Georgetown University in 2001.She is active in the Georgetown MBA Alumni Advisory Counsel, several charitable organizations and also devotes time to pro bono activities.
Sarah L. Wilson is a litigation partner and former federal judge whose practice focuses on litigation and investigations. She has handled a broad range of civil and criminal disputes, including False Claims Act litigation, environmental and natural resources litigation, insurance litigation, pharmaceutical and consumer product company investigations, and arbitration.
Ms. Wilson co-chairs the Advertising and Consumer Law Practice Group. She has represented the world’s largest automotive and consumer product companies in recall and post-recall investigations and disputes.
Prior to joining the firm, Ms. Wilson served as a Trial Attorney and Deputy Assistant Attorney General in the Department of Justice, as an Associate and Senior Counsel in the White House Counsel's Office, and as a Judge on the U.S. Court of Federal Claims.
Memberships and Affiliations
Litigation and Investigations
Regulatory and Public Policy
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. 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.
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 on the board of trustees of the SEC Historical Society. She also serves on the Executive Committee 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.
Amy Walsh, a partner in the New York office of Morvillo LLP, is the former Chief of the Business and Securities Fraud Section of the United States Attorney’s Office for the Eastern District of New York. Ms. Walsh currently serves as the court-appointed monitor in JPMorgan Chase’s settlement with the United States Trustee Program of the Department of Justice (see ChaseIndependentReview.com). She also represents individuals and institutions in government investigations, enforcement actions, and prosecutions conducted by various government agencies, including the U.S. Department of Justice, the Securities and Exchange Commission, the Commodity Futures Trading Commission and the Internal Revenue Service. Prior to entering private practice, Ms. Walsh was an Assistant United States Attorney for 12 years in the United States Attorney’s Office for the Eastern District of New York, where she led dozens of investigations and cases on behalf of the government, and supervised several sections within the Office. Currently, Ms. Walsh litigates cases in federal and state court, negotiates with representatives of government enforcement agencies, and advises clients on compliance issues. Ms. Walsh frequently publishes and speaks on various topics related to her practice, and has been named regularly in Super Lawyers in the area of white collar defense.
Jonathan Leiken was appointed senior vice president, chief legal officer and secretary for Diebold, Incorporated, in May 2014. He oversees the company’s global legal function and global corporate compliance program, and serves as the corporate secretary to Diebold’s Board of Directors.
Leiken previously worked as a partner at global law firm Jones Day, where he represented public and private companies, boards of directors, special committees and individuals in government investigations, complex civil lawsuits and at trial. As outside counsel, Leiken represented numerous Fortune 500 companies in litigation and investigative matters in state and federal court and before the United States Department of Justice and U.S. Securities & Exchange Commission. He has conducted international inquiries for U.S. public companies on four continents, provided guidance on international acquisitions, and advised clients on developing effective worldwide compliance programs. While at Jones Day, Leiken served as one of Diebold’s leading external counsel on various litigation and investigative matters.
For over ten years, Leiken has served as an adjunct professor of law at Case Western Reserve University Law School where he teaches a course on prosecuting and defending white collar crime.
Prior to joining Jones Day, Leiken served as a federal prosecutor, working as an assistant United States attorney in the criminal division of the U.S. Attorney’s Office for the Southern District of New York in the United States Department of Justice. As a federal prosecutor, Leiken successfully tried numerous criminal cases to jury verdicts in New York federal court and represented the United States on appeal before the U.S. Court of Appeals for the Second Circuit. Leiken earned commendations from numerous federal agencies including the Federal Bureau of Investigation, U.S. Department of State, U.S. Drug Enforcement Administration, U.S. Secret Service and several local police departments during his tenure as an assistant United States attorney.
Telemachus Kasulis is the Co-Chief of the Securities and Commodities Fraud Task Force at the United States Attorney’s Office for the Southern District of New York. Prior to joining the Office, Mr. Kasulis worked at a law firm in New York City and clerked for the Honorable Joseph M. McLaughlin on the United States Court of Appeals for the Second Circuit. He is a graduate of Yale University and Cornell Law School.