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White Collar Crime 2018: Prosecutors and Regulators Speak


Speaker(s): Alicyn Cooley, Alixandra Smith, Andrea M. Griswold, Angela T. Burgess, Dani R. James, Helen V. Cantwell, Hon. Richard J. Sullivan, Ian McGinley, James J. Benjamin, Jr., James M. McDonald, Katya Jestin, Keith D. Krakaur, Lara Shalov Mehraban, Lisa Zornberg, Marc P. Berger, Martine M. Beamon, Maureen F. Lewis, Nicolas Bourtin, Parvin Daphne Moyne, Robert A. Cohen, Sarah Coyne, Seth D. DuCharme, Steven R. Peikin, Susan E. Brune, Tai H. Park, Theresa Trzaskoma
Recorded on: Oct. 3, 2018
PLI Program #: 220650

Alicyn Cooley is a Deputy Chief of the Business and Securities Fraud Section of the United States Attorney’s Office for the Eastern District of New York.  Alicyn leads and supervises investigations and prosecutions of securities fraud, investment adviser fraud, money laundering, tax crimes, and violations of the Foreign Corrupt Practices Act.  Among other significant white collar criminal matters, Alicyn has led investigations and prosecutions involving: a $1 billion hedge fund investment fraud and a related $95 million scheme to defraud holders of publicly traded bonds; multimillion-dollar market manipulation schemes involving the stock of publicly traded companies, including a 16-defendant, $147 million scheme targeting elderly investors nationwide; multimillion-dollar money laundering schemes involving the use of offshore and nominee bank and brokerage accounts; insider trading; and foreign corruption.  Before her appointment to the Business and Securities Fraud Section, Alicyn prosecuted and tried multiple cases involving organized and violent criminal enterprises, resulting in several defendants’ convictions of murder, racketeering, and firearm- and narcotics-related offenses.

Prior to joining the United States Attorney’s Office in August 2012, Alicyn was a litigation associate at Davis Polk & Wardwell in New York, and clerked for Judge Barrington D. Parker, Jr., of the United States Court of Appeals for the Second Circuit, and Judge John Gleeson of the United States District Court for the Eastern District of New York.  Alicyn received her J.D. from Yale Law School, where she was a Comments Editor of the Yale Law Journal.  She obtained her B.A., summa cum laude and Phi Beta Kappa, from Yale University. 

Alicyn is also a co-author of the treatise Federal Criminal Practice: A Second Circuit Handbook.   


Alixandra Smith has served as the Chief of the Business and Securities Fraud Section at the United States Attorney’s Office for the Eastern District of New York since 2019, and is currently serving as the Acting Deputy Chief of the Office’s Criminal Division.  She has investigated and prosecuted a wide variety of criminal matters against both individuals and entities, including fraud involving publicly-traded companies, market manipulation, insider trading, healthcare fraud, tax crimes, money laundering, cyber-enabled crime and violations of the Foreign Corrupt Practices Act (“FCPA”).  Alix is also an adjunct professor at New York University Law School.

During her time at the Office, Alix has worked on significant white collar cases.  For example, Alix was the co-lead prosecutor for United States v. Martin Shkreli and Evan Greebel, in which a pharmaceutical executive and his attorney were convicted of securities fraud conspiracy and other charges in connection with four complex fraud schemes in separate trials lasting a combined total of 17 weeks.  Alix has prosecuted a number of noteworthy FCPA matters, including United States v. Odebrecht and United States v. Braskem and related cases, in which two Brazilian-based petrochemical companies that paid almost a billion dollars in bribes to government officials in at least 12 countries in order to win business pleaded guilty to conspiracy to violate the anti-bribery provisions of the FCPA as part of an agreement to resolve charges in the United States, Brazil and Switzerland; and United States v. Goldman Sachs and related cases, in which investment bank Goldman Sachs and three individuals, including two former Goldman Sachs bankers, were charged for their participation in a multi-billion dollar money laundering and bribery conspiracy related to 1 Malaysia Development Berhad (IMDB), and Goldman Sachs entered into a deferred prosecution agreement and its Malaysian subsidiary pleaded guilty to conspiracy to violate the anti-bribery provisions of the FCPA, paid $2.9 billion in criminal penalties as part of a global resolution with eight different foreign and domestic authorities.  Alix also led the criminal prosecution of United States v. AmerisourceBergen, in which the second-largest drug distributor in the United States pleaded guilty to a criminal violation of the Federal Food, Drug and Cosmetics Act and paid a combined total of $885 million in civil and criminal penalties stemming from its distribution, over a period of ten years, of millions of syringes of oncology drugs to immunocompromised cancer patients nationwide that were prepared under insanitary conditions and contaminated.

Prior to joining the Office, Alix was an associate at two law firms in New York; completed clerkships with the Honorable Julio M. Fuentes, United States Court of Appeals for the Third Circuit, and the Honorable Faith S. Hochberg, United States District Court for the District of New Jersey; and served as an adjunct professor at Fordham Law School.  She graduated from Harvard University and Harvard Law School.


Dani R. James is a partner in the New York office of Kramer Levin Naftalis & Frankel LLP, where she is co-chair of the White Collar Defense and Investigations practice.

Dani represents executives, directors and officers, and other individuals, as well as companies, in sensitive, complicated and often high-profile criminal and regulatory trials, hearings, investigations and other proceedings conducted by federal and state agencies, including the U.S. Department of Justice, the Securities and Exchange Commission, the U.S. Attorney’s Office and the Manhattan District Attorney’s Office, among other agencies. A former federal prosecutor, Dani defends clients in a broad range of white collar criminal and regulatory matters, including allegations of insider trading, market manipulation, public corruption, bid-rigging, tax fraud and violations of the Foreign Corrupt Practices Act.

In addition to criminal matters, Dani handles complex civil litigation on behalf of corporations, directors and officers, and others, representing them in securities class actions, shareholder derivative suits and civil racketeering cases, as well as complex business disputes. She also conducts corporate internal investigations and provides counsel to audit committees and special litigation committees on compliance matters.

Dani’s most recent notable work includes the successful representation of New York City Mayor Bill de Blasio in federal and criminal investigations and a former Barclays banker in a civil fraud suit brought by the Department of Justice relating to mortgage-backed securities.

From 1999 to 2003, Dani served as an Assistant U.S. Attorney in the Southern District of New York, representing the United States as lead counsel in a wide variety of federal criminal cases involving securities fraud, bank fraud, money laundering, international narcotics trafficking, racketeering and violent offenses, as well as appeals before the U.S. Court of Appeals for the Second Circuit. Prior to joining the firm in 2007, Dani served as assistant visiting professor at the Benjamin N. Cardozo School of Law, where she taught courses on criminal law and conducted extensive research on federal sentencing issues.

 


Helen V. Cantwell is a litigation partner with extensive trial experience. Her practice focuses on white collar criminal defense, regulatory enforcement actions and internal investigations for a wide variety of corporations and financial institutions. In addition to advising clients on their responses to state and federal investigations, she also advises these clients on their compliance obligations.

Ms. Cantwell also has deep experience in conducting sensitive investigations involving allegations of sexual misconduct and sexual harassment, dating back to her service as a prosecutor in the Manhattan DA’s Sex Crimes Unit.

Chambers USA (2019) recognizes Ms. Cantwell as a leading practitioner in white collar criminal defense and investigations matters. According to clients, “her judgment is just impeccable and she has a mind like a steel trap.” She is described as “incredibly bright and sharp” by fellow practitioners, who praise her ability to “get up to speed lightning fast.” She receives further praise from clients who commend her “standout judgment and attention to detail.”

Prior to joining the firm, Ms. Cantwell served for eight years as an Assistant United States Attorney for the Southern District of New York. During her tenure in the U.S. Attorney’s Office, she was a member of the Securities and Commodities Fraud Task Force and worked closely with the Securities and Exchange Commission, the Commodities Futures Trading Commission and other law enforcement and regulatory agencies. Ms. Cantwell joined the U.S. Attorney’s Office in 2000, after four years as an Assistant District Attorney in the New York County District Attorney’s Office. She is a recipient of the Department of Justice Director’s Award for Superior Performance as a Federal Prosecutor.

After the Manhattan District Attorney’s Office, Ms. Cantwell spent a year working in Malaysia with the International Women’s Rights Action Watch, under a fellowship grant from the Henry Luce Foundation.

Ms. Cantwell joined Debevoise in 2008. She earned her J.D. cum laude in 1995 from Harvard Law School, where she was President of the Harvard Legal Aid Bureau, and her B.A. magna cum laude from Wellesley College in 1992.


Ian McGinley has been with the United States Attorney’s Office for the Southern District of New York since 2011 and has served as Chief of the Office’s Narcotics Unit since October 2017.  Prior to assuming that position, he served as a senior member of the Securities and Commodities Fraud Task Force and of the Terrorism and International Narcotics Unit.  Mr. McGinley has significant trial experience, including, among others, the convictions of four defendants, including two partners at Deerfield Management Company, a healthcare focused hedge fund, for stealing confidential government information and using it to engage in illegal trading; the conviction of Stefan Lumiere, a former portfolio manager at Visium Asset Management, for engaging in a multimillion dollar mismarking scheme; and the conviction of Abu Hamza al-Masri, a former terrorist leader operating as a cleric in London, for various terrorism related offenses

Mr. McGinley graduated from New York University School of Law in 2006, and began his legal career at Gibson, Dunn & Crutcher LLP, where he worked from 2006 to 2009.  From 2009 to 2010, he served as a law clerk for the Honorable Gene E.K. Pratter, United States District Court Judge for the Eastern District of Pennsylvania. 


Katya Jestin is co-chair of the firm’s Investigations, Compliance and Defense Practice and counsels companies and executives in criminal, regulatory, and congressional investigations, including representing clients before the United States Department of Justice, the Securities and Exchange Commission, and the U.S. Senate Permanent Subcommittee on Investigations. She also conducts internal investigations on behalf of corporate clients, provides counsel to senior management on FCPA and other compliance issues, and served as counsel to the Examiner in the Lehman Brothers bankruptcy examination.

Ms. Jestin’s recent engagements have included:

  • Representing a global airline in connection with a Department of Justice fraud investigation resulting in a non-prosecution agreement.
  • Representing an international law firm in a government investigation resulting in no charges.
  • Served as part of the team representing General Motors in an investigation by the US Attorney’s Office of the S.D.N.Y, culminating in the resolution of the matter with a deferred prosecution agreement.
  • Representing an originator in a Department of Justice FIRREA investigation.
  • Serving as a national counsel to a group of consumer installment lenders and loan servicers facing civil litigation and regulatory enforcement actions throughout the country, including a first-of-its-kind lawsuit brought by the Consumer Financial Protection Bureau (CFPB).
  • Representing executives of global financial institutions in connection with multiple money laundering and OFAC investigations by banking regulators, the Department of Justice and the New York County District Attorney’s Office.
  • Defending a hedge fund CFO in the Southern District of New York and before the Securities and Exchange Commission
  • Representing executives before the United States Senate Permanent Subcommittee on Investigations in a money laundering and terrorist financing investigation.
  • Defending financial institution executives in connection with a Department of Justice probe into municipal bond bid rigging practices.
  • Pro bono representation of indicted individuals in the S.D.N.Y., including obtaining a complete dismissal of all charges against one defendant.

Ms. Jestin joined Jenner & Block after serving as an Assistant United States Attorney and a supervisor in the Criminal Division of the Eastern District of New  York, where she was involved in investigations, prosecutions and trials involving fraud, money laundering, and other white collar offenses. She also successfully prosecuted the leadership of three of the five Las Cosa Nostra organized crime families. She was co-counsel in the RICO prosecution of Gambino boss Peter Gotti and 16 co-defendant for labor racketeering, fraud and corruption, resulting in the conviction of all defendants.


Keith D. Krakaur is head of the firm's European Government Enforcement and White Collar Crime Group. With over 30 years of experience, he represents corporations, their board committees, directors, officers and employees in criminal and regulatory investigations and at trial.

Mr. Krakaur has represented numerous institutions and individuals in cross-border investigations, including those relating to economic sanctions, corrupt practices, money laundering and tax fraud. He also has defended clients in matters involving allegations of accounting fraud, securities fraud, bank and insurance fraud, health care fraud, consumer fraud, customs fraud, public corruption and conflicts of interest. He assists boards of directors and management in conducting internal investigations, and often advises clients about preventive and remedial measures relating to compliance and internal controls.

Mr. Krakaur has argued appeals before the U.S. Court of Appeals for the Second, Seventh, Ninth and Federal Circuits. He has spoken frequently before various bar associations and trade groups, including the American Bar Association's White Collar and International Law Sections, the Practising Law Institute, the American Law Institute, the New York City Bar Association, the New York State Banking Department and the Association of Life Insurance Counsel. He also has been a guest lecturer at the NYU School of Law and the Pantheon-Sorbonne in Paris.

Mr. Krakaur is a former chair of the New York State Second Department Judicial Screening Committee and former member of the New York State Judicial Screening Committee (2007-2010). He is a former chair of the Executive Committee of the Lawyers Division of UJA-Federation of New York, and is a recipient of its James H. Fogelson Award.

As an Assistant U.S. Attorney for the Eastern District of New York, Mr. Krakaur conducted and supervised numerous grand jury investigations and trials. He focused on prosecuting individuals and companies for tax fraud, money laundering and public corruption.

Prior to relocating to London in 2016, Mr. Krakaur was based in Skadden's New York office. One of the top government enforcement and white collar crime lawyers in London and New York, he is recognized as a leading practitioner by Chambers UK (previously recognized in Band 1 of Chambers USA). Mr. Krakaur also has been selected for inclusion in The Best Lawyers in America; is listed in Who's Who Legal: Business Crime Defense 2015, Euromoney's White Collar Crime Expert Guide 2016 and Who's Who Legal: Investigations 2017 and 2016; and was selected by Benchmark Litigation as a 2016 Benchmark Litigation Star.


Lara Shalov Mehraban is an Associate Director for Enforcement in the New York Office of the U.S. Securities and Exchange Commission, which means that she supervises a staff of approximately 150 attorneys, investigators, accountants and paralegals in the New York Office’s enforcement program.  She joined the SEC in 2007 and has served as an Assistant Regional Director, a member of the SEC’s Asset Management Unit, and a senior counsel.  Before joining the SEC, she was a litigation associate at for seven years, first at Paul, Weiss, Rifkind, Wharton & Garrison LLP and then at Stillman, Friedman & Shechtman, P.C.  Prior to her law firm practice, she served as a law clerk to the Honorable Michael Daly Hawkins on the United States Court of Appeals for the Ninth Circuit.  She received her J.D. from the University of Michigan Law School and her B.A. from Duke University.


Lisa Zornberg is a litigation partner based in the firm’s New York office. She is a member of the White Collar & Regulatory Defense Group, where her practice focuses on white collar defense, regulatory enforcement actions and internal investigations – including cyber investigations –  for corporations and financial institutions, as well complex civil litigation.

Prior to joining Debevoise in 2019, Ms. Zornberg was the Chief of the Criminal Division of the United States Attorney’s office in the Southern District of New York. As Chief of the Criminal Division from 2016 to 2018, Ms. Zornberg supervised approximately 170 federal prosecutors and oversaw the Office’s criminal investigations and prosecutions, including of corporate and securities fraud, cybercrime, health care fraud, criminal violations of U.S. sanctions, Federal Corrupt Practices Act (FCPA) and RICO violations, terrorism, public corruption, construction fraud, art fraud, violence and drug offenses. Ms. Zornberg first joined the U.S. Attorney’s Office in 1998, where, over the next 14 years, she served as an Assistant United States Attorney in both the Civil and Criminal Divisions, rising to supervisory ranks in each division. From 2004 to 2005, she was Deputy Chief of Appeals in the Civil Division and from 2011 to 2012, she was Co-Chief of the Complex Frauds Unit in the Criminal Division. From 2012 to 2016, Ms. Zornberg was a partner at a premier New York City litigation boutique, where she defended corporate officers and individuals in criminal and regulatory matters, and handled complex litigation.

Nicknamed the “tiny tornado” by one New York newspaper for her effectiveness in court, Ms. Zornberg has tried 15 cases to verdict, in both civil and criminal matters. Ms. Zornberg has lectured nationally about current trends in federal law enforcement.

Ms. Zornberg is a recipient of the Department of Justice Marshall Award, the department’s highest award given to attorneys for excellence in legal performance. She is also the recipient of the Federal Law Enforcement Foundation’s Federal Prosecutor of the Year award.

Ms. Zornberg graduated magna cum laude from Harvard College in 1991 and cum laude from Harvard Law School in 1994. Early in her legal career, Ms. Zornberg clerked for the Hon. Sonia Sotomayor, when Justice Sotomayor served as a United States District Judge for the Southern District of New York.


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.

Education 

  • University of Virginia School of Law, 1999 J.D.
  • Cornell University, 1996 B.S.
    With Distinction
 
Clerkships
  • Hon. Richard M. Berman, United States District Court, Southern District of New York
 
Admissions
  • New York 


Maureen F. Lewis is the Co-Head of HSBC's Global Internal Investigations Group, which is responsible for the oversight and coordination of the highest risk government-facing and internal investigations across HSBC's four global lines of business (Global Banking and Markets, Retail Banking and Wealth Management, Commercial Banking and Global Private Banking).  Prior to joining HSBC, Ms. Lewis was a member of Deutsche Bank's Litigation and Regulatory Enforcement Group, working in both London and New York.  She previously spent more than seven years at the U.S. Securities and Exchange Commission's Division of Enforcement, where she ultimately served as an Assistant Regional Director in the Market Abuse Unit.  Before joining the SEC, Ms. Lewis worked as a litigation associate at Davis Polk & Wardwell.  She is a graduate of Stanford Law School and clerked for the Honorable Ronald Lee Gilman of the United States Court of Appeals for the Sixth Circuit.


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.


Nicolas Bourtin is the Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group and a co-head of the FCPA and Anti-Corruption Group. His practice spans multiple areas of white collar criminal defense, including anti-corruption, accounting fraud, criminal antitrust, sanctions, anti-money laundering and securities fraud. He has conducted numerous jury trials and internal investigations and has represented individuals and corporations in high-profile matters. He has defended some of S&C’s most prominent clients, such as Goldman Sachs, JPMorgan Chase, Wells Fargo, Fiat Chrysler Automobiles, Eni, Barclays, TD Bank, Standard Chartered and Popular in investigations and litigation. Previously, he served as an Assistant U.S. Attorney in the Eastern District of New York. Mr. Bourtin has been recognized by The National Law Journal as a White Collar, Regulatory and Compliance Trailblazer, and by Chambers USA as a leader in White-Collar Crime & Government Investigations and FCPA. He received his J.D. from Columbia Law School and his B.A. from the University of Notre Dame.


Parvin Daphne Moyne represents individuals and corporations in a wide variety of government and regulatory investigations, as well as in white collar criminal defense, internal investigations, and complex commercial litigation matters.

Ms. Moyne has extensive experience representing corporations and their key executives in matters arising from allegations of securities and commodities fraud, such as market manipulation, insider trading, investment advisor fraud, accounting fraud, wire and mail fraud and tax fraud, and from allegations of public corruption, money laundering, mortgage fraud, and violation of the Foreign Corrupt Practices Act (FCPA), consumer privacy statutes, and sanctions laws. Many of her clients are based outside of the United States. 

Prior to joining Akin Gump in 2015, Ms. Moyne had a nearly decade-long tenure as an assistant U.S. attorney for the Southern District of New York in the elite Securities and Commodities Fraud Task Force. During her tenure there, Ms. Moyne was lead counsel in more than 100 investigations and prosecutions, tried 10 federal criminal jury trials in the U.S. District Court for the Southern District of New York, and briefed and argued more than 10 appeals before the 2nd Circuit. She also supervised junior prosecutors in four federal criminal trials. Additionally, she coordinated investigations and prosecutions with numerous law enforcement and regulatory agencies, including the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Trade Commission (FTC), Federal Bureau of Investigation (FBI), Drug Enforcement Administration (DEA), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Federal Reserve Bank of New York, Federal Energy Regulatory Commission, U.S. Department of Labor, New York State Attorney General’s Office and the Manhattan and Bronx District Attorney’s Offices.

Prior to her tenure at the U.S. Attorney’s Office, Ms. Moyne was law clerk to the Honorable Dennis Jacobs, then the Chief Judge of the 2nd Circuit, for whom she drafted bench memoranda, judicial opinions and summary orders.

Ms. Moyne received her J.D. magna cum laude from the New York University School of Law, where she earned membership in the Order of the Coif and served as editor-in-chief of the New York University Law Review.


Sarah Coyne is a partner in Weil’s Litigation Department and a member of the Firm’s global White Collar Defense, Regulatory and Investigations practice. She handles a wide range of civil and criminal white collar matters, as well as internal investigations, and has experience across industry sectors, with an emphasis on financial institutions.

Ms. Coyne is a former Assistant U.S. Attorney in the Eastern District of New York, where she was Chief of the Business and Securities Fraud Section. In 2018, she was featured by Global Investigations Review as one of the top 100 “Women in Investigations” worldwide. Since 2017, Ms. Coyne has been recognized nationally by Legal 500 for Corporate Investigations and White Collar Criminal Defense, including as a “Next Generation” lawyer, and she is currently recognized as a “Future Star” by Benchmark Litigation.

Prior to joining Weil, Ms. Coyne was a federal prosecutor for 14 years, first in the District of New Jersey, then moving to the U.S. Attorney’s Office in the Eastern District of New York, where she worked for 11 years. In these roles, Ms. Coyne prosecuted or supervised a number of high-profile matters, including those involving the Foreign Corrupt Practices Act, securities and investment fraud, and off-label promotion in the healthcare space. She also tried 14 jury trials and argued seven successful appeals before the Second Circuit, and one before the Third Circuit. As Chief of the Business and Securities Fraud Section, Ms. Coyne supervised 15 prosecutors working on white collar criminal matters.

Recent notable experience includes representing:

  • US Ski & Snowboard sports association in connection with various congressional inquiries.
  • a major financial institution in connection with investigations by the U.S. Attorney’s Office for the Southern District of New York and the SEC into a purported theft by a former employee of millions of dollars from client accounts.
  • a senior banker at a financial institution in connection with an SEC investigation into failed Puerto Rico municipal government bonds.
  • a New York police union in connection with an investigation by the U.S. Attorney’s Office for the Eastern District of New York into alleged corruption in a county police force.
  • a global payment provider with respect to a U.S. Attorney’s Office investigation into allegations of overbilling and a related class action filed in the Eastern District of New York, as well as an internal investigation regarding alleged fraud by an employee accused of embezzlement.
  • an executive at a life sciences laboratory in connection with an investigation by the Civil Division of the U.S. Attorney’s Office for the Southern District of New York into allegations of improper Medicare billing.
  • a former executive at a life sciences laboratory in connection with an investigation by the Civil Division of the U.S. Attorney’s Office for the Eastern District of New York into allegations of improper Medicare billing.
  • a global investment management firm with respect to an investigation brought by the U.S. Attorney’s Office for the District of New Jersey in connection with allegations of insider trading.
  • a former hedge fund founder with respect to an investigation by the U.S Attorney’s Office for the Eastern District of New York for securities fraud.
  • a foreign individual in connection with the investigation by the U.S. Attorney’s Office for the Eastern District of New York into the FIFA corruption scandal.
  • §numerous executives of financial institutions in securities fraud investigations.

Ms. Coyne is a frequent speaker on white collar and related topics such as the FCPA, and currently serves as a Lecturer of Law at the University of Pennsylvania School of Law, where she teaches a course on white collar crime.

Upon graduating from law school, Ms. Coyne clerked for two years for the Hon. Maryanne Trump Barry, both at the District Court level and at the United States Court of Appeals for the Third Circuit. She earned her J.D. in 1998 from New York University School of Law, and received her B.A. from Georgetown University, magna cum laude and Phi Beta Kappa, in 1993.


Seth D. DuCharme supervises the investigations and prosecutions by the U.S. Attorney’s Office across a wide range of practice areas, which include corporate and securities fraud, terrorism, cybercrime, public corruption, international narcotics trafficking, civil rights violations, and violent and organized crime. Seth joined the Office in March 2008 and has served in the General Crimes, Violent Crimes and Terrorism, and National Security and Cybercrime Sections. Seth has held several senior supervisory positions with the Office prior to his current appointment, including Chief of the National Security and Cybercrime Section. He also has served as the Office’s National Security Cyber Specialist and representative on the Anti-Terrorism Advisory Council. He is the recipient of numerous awards, including the 2018 EOUSA Director’s Award for his innovative work in developing an early engagement program to disrupt and redirect potential extremists. Before joining the Office, Seth served as a Deputy U.S. Marshal in Brooklyn, clerked for the late Honorable Richard Owen in the Southern District of New York and was employed as an associate at the law firm of Simpson, Thacher & Bartlett, LLP. Seth is a 2003 graduate of Fordham University School of Law, where he was selected as a Stein Scholar and also as an editor on the Fordham Law Review.  Seth received his B.A. from Hamilton College. 


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.” Per Chambers, she is “at the top of her game and fights hard for her clients. She can parachute into a case and learn everything and get up to date so fast.” She is “truly one of the greatest lawyers in our field and at the very top of the profession. She's the whole package: a brilliant lawyer, incredible advocate, trusted adviser and totally fearless.” In support of the ranking, Chambers states that she is “a market-leading attorney for the representation of individuals involved in complex, high-stakes criminal trials” and a “strong choice for corporations facing white-collar proceedings.”

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.


Tai H. Park is co-founding partner of a boutique white collar law firm, Park Jensen Bennett LLP.  His practice focuses on white collar criminal and regulatory defense, related securities class action litigation and other complex litigation. Mr. Park served for ten years as a federal prosecutor in the United States Attorney's Office for the Southern District of New York, where he served in various positions, including Senior Trial Counsel in the Securities Fraud Unit and Chief of the Narcotics Unit.  During that time, he received multiple awards, including the Attorney General’s Award for Distinguished Service.  He then spent ten years as a Litigation Partner at Shearman & Sterling LLP, where he principally represented companies, including commercial and investment banks, three of the Big Four accounting firms, and investment funds and their advisers, in a wide variety of criminal, regulatory and civil matters.  In connection with this work, Mr. Park led  dozens of internal corporate investigations. Over the past nine years, at Park Jensen Bennett, Mr. Park’s white collar practice has focused more on representations of individual executives and employees of companies in investigations and trials.  Mr. Park is a Fellow of the American College of Trial Lawyers. 


Theresa Trzaskoma is an experienced trial lawyer with more than two decades of experience representing clients in a wide variety of civil and white collar criminal matters. She defends individual and corporate clients in criminal investigations and prosecutions, and in proceedings before regulatory agencies, including the SEC, FINRA, and the CFTC. Her white collar cases have involved allegations of securities fraud, cryptocurrency fraud, corruption, money laundering, accounting fraud, insurance fraud, antitrust violations, OFAC violations, improper trading practices, embezzlement, insider trading, market manipulation and tax-related fraud. She has also conducted internal investigations on behalf of companies and municipalities.

Ms. Trzaskoma attended the Honors College at the University of Michigan and graduated with a degree in Classical Archaeology. She attended the University of Texas School of Law as a prestigious Townes-Rice Scholar, and received numerous academic awards, including being inducted into the Chancellors honors society. She served as Articles Editor on the Texas Law Review. She graduated from Texas with honors and was elected to the Order of the Coif. Thereafter, Ms. Trzaskoma clerked for the Honorable Stephen R. Reinhardt on the Ninth Circuit Court of Appeals.


Andrea M. Griswold is currently the Co-Chief of the Securities and Commodities Task Force at the United States Attorney’s Office for the Southern District of New York.

Previously, as a prosecutor in the unit she now supervises, Ms. Griswold investigated, prosecuted and tried to verdict a wide variety of significant securities fraud cases, including those involving allegations of accounting fraud, valuation fraud, insider trading and market manipulation. Most recently, Ms. Griswold led the criminal investigation that resulted in the indictment and arrest of Arif Naqvi and other senior executives at the Abraaj Group, the largest failed private equity firm, on charges that the defendants serially inflated the valuation of private equity investments and misappropriated hundreds of millions of dollars, all while promoting the firm as a pioneer of so-called “impact investing” that could “do good” without “compromising returns.” Ms. Griswold has also served as an Acting Deputy Chief of the Narcotics Unit and as a member of the public corruption unit where she was part of the team that investigated and prosecuted attorney Michael Cohen for campaign finance violations and criminal tax evasion.

Ms. Griswold graduated cum laude from Georgetown University and earned her law degree from New York University in 2007. Prior to becoming a prosecutor, Ms. Griswold began her legal career at Simpson Thacher & Bartlett LLP, where she worked from 2007 to 2013, primarily on matters in the firm’s White Collar and Government Investigations group.


As co-chair of Davis Polk’s Global Enforcement and Investigations Group, Angela Burgess’s practice focuses on representing companies as well as individuals in matters involving allegations of violations of anti-bribery laws, insider trading, money laundering, criminal tax fraud, antitrust, fraud and other financial crimes. She also routinely advises boards of directors, audit committees and companies on corporate governance and compliance matters, including designing strategies, policies and procedures to mitigate risk.

Ms. Burgess has built a reputation for representing companies in connection with some of the largest SEC and DOJ FCPA investigations in recent years, including Telia Company AB and Siemens.

Many of Ms. Burgess’s most successful matters have not resulted in public charges, though, and therefore remain confidential.

Ms. Burgess also serves, on a pro bono basis, as Counsel to the NY State Justice Task Force. 

Ms. Burgess received her J.D., cum laude, from Harvard Law School and her B.A., summa cum laude, from Georgetown University.


Richard J. Sullivan was sworn in as a Judge on the United States Court of Appeals for the Second Circuit in October 2018.  Before that, Judge Sullivan served for eleven years as a trial judge on the United States District Court for the Southern District of New York in Manhattan.  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, Judge Sullivan was an attorney in private practice at the law firm of 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 and the College of William & Mary in Virginia.  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. 


Robert Cohen is a partner in the Washington, DC office of Davis Polk & Wardwell. He is a member of the firm’s White Collar Criminal Defense and Government Investigations Group.

Mr. Cohen held senior positions in the Enforcement Division of the Securities and Exchange Commission during a 15-year tenure.  He served as the first Chief of the SEC’s Cyber Unit, and previously was Co-Chief of the Market Abuse Unit.  Mr. Cohen supervised a wide variety of high-profile cases, including investigations of complex insider trading; market structure violations by broker-dealers, trading platforms, and national securities exchanges; financial fraud and disclosure violations by public companies; investment adviser compliance and trading violations; cybersecurity controls; and cryptocurrency, initial coin offerings, and other digital assets.

Mr. Cohen is admitted to practice in New York, Maryland, and Washington DC.


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.


James M. McDonald is a litigation partner and a member of the Firm’s Securities & Commodities Investigations and Enforcement Practice and its Commodities, Futures and Derivatives group. His practice focuses on advising clients on regulatory enforcement matters, white-collar criminal matters, and internal investigations, as well as on corporate governance and compliance related to commodities and derivatives laws.  
  
From 2017 to 2020, Mr. McDonald served as Director of the U.S. Commodity Futures Trading Commission’s Division of Enforcement, where he had overall responsibility for all aspects of the CFTC’s enforcement program, including its investigations and litigations, market surveillance activity, and whistleblower office. During his time at the CFTC, Mr. McDonald was responsible for creating the first task forces within the Division of Enforcement focused on manipulation and spoofing; insider trading; foreign corruption; anti-money laundering and the Bank Secrecy Act; and digital assets. He also coordinated the CFTC’s enforcement activities with the Department of Justice, the SEC, and numerous international regulators.
  
Prior to joining the CFTC in 2017, Mr. McDonald served as an Assistant United States Attorney in the Southern District of New York, where he investigated and prosecuted white-collar criminal offenses, as well as cases involving international narcotics trafficking and violent crime, and tried numerous jury cases. 
  
Mr. McDonald currently serves as an Adviser to the American Law Institute’s Principles of Compliance, Risk Management, and Enforcement. Mr. McDonald previously served as a Visiting Scholar at Harvard Business School, where he co-taught a course on the intersection of business, regulation, and enforcement, and as a Senior Fellow at NYU Law’s Program on Corporate Compliance and Enforcement. Originally from Oklahoma, Mr. McDonald previously taught Constitutional Law, Federal Courts, Foreign Relations Law, and Supreme Court Decision-making as a Visiting Assistant Professor at the University of Tulsa College of Law.
 
Mr. McDonald is a frequent featured speaker at bar association and professional organization conferences on issues relating to white-collar enforcement and internal investigations, including the American Bar Association, SIFMA, the Futures Industry Association, the New York City Bar, and PLI. Mr. McDonald’s comments have been reported by numerous major news publications, including The Wall Street Journal, The Financial Times, The New York Times, and Bloomberg.
 
Mr. McDonald served as a law clerk to John G. Roberts, Jr., Chief Justice of the United States, and Jeffrey S. Sutton, Jr., Judge on the United States Court of Appeals for the Sixth Circuit, and as a Deputy Associate Counsel, in the Office of the White House Counsel, under President George W. Bush.


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.