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Internal Investigations 2018


Speaker(s): Anne Murray, Arlo Devlin-Brown, Elaine H. Mandelbaum, F. Joseph Warin, Holly H. Weiss, James J. Benjamin, Jr., Joan Loughnane, John F. Savarese, Joseph G. Petrosinelli, Marc P. Berger, Martine M. Beamon, Nancy Kestenbaum, Richard Tarlowe, Richard J. Morvillo, Steven L. D'Alessandro, Steven R. Peikin, Thomas A. Hanusik
Recorded on: Jun. 22, 2018
PLI Program #: 221056

Anne Murray is a member of Orrick’s White Collar & Corporate Investigations practice group. Anne defends companies and individuals in government and internal investigations.  Anne frequently represents companies and individuals in matters before the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC).

Anne has extensive experience in anti-corruption matters involving the Foreign Corrupt Practices Act (FCPA). She regularly conducts internal investigations and risk assessments; performs pre-acquisition anti-corruption diligence; counsels companies about compliance issues; and develops corporate compliance programs.

She has represented multinational corporations across the aerospace, communications, defense, financial services, health care, hospitality and tourism, mining, oil and gas, technology, security, and shipping industries. She also has led investigations and compliance reviews throughout the Americas, Europe, Asia, Africa and Australia with on-the-ground experience in more than 14 countries including Brazil, China and Mexico.


Arlo Devlin-Brown represents individuals and companies in sensitive government investigations and enforcement actions, with particular expertise in securities fraud, anti-money laundering and corruption matters. Prior to joining the firm, Mr. Devlin Brown served in the U.S. Attorney’s Office for the Southern District of New York as one of its leading securities fraud prosecutors and most recently as Chief of its Public Corruption Unit. In his role as Chief, Mr. Devlin-Brown supervised more than 20 prosecutors, criminal investigators and other professionals responsible for investigating and prosecuting a wide range of domestic and foreign corruption offenses and cases involving fraud against the government.

Prior to being promoted to Chief, Mr. Devlin-Brown served as an Assistant U.S. Attorney in the Southern District’s Securities and Commodities Fraud Unit. He investigated and prosecuted some of the most notable financial services-related cases in recent years—among them were cases involving insider trading, Bank Secrecy Act, anti-money laundering violations, investment adviser fraud, offering fraud, and accounting fraud.

Mr. Devlin-Brown also handled a wide range of other matters during his tenure in the Southern District, including significant cybercrime, money laundering and health care fraud matters. He spearheaded the Department of Justice’s principal enforcement action involving the internet gambling industry. During his tenure in the Southern District, Mr. Devlin-Brown tried twelve cases to verdict and briefed and/or argued fifteen appeals to the Second Circuit.


Holly Weiss is a partner with Schulte Roth & Zabel, where she focuses her practice on the representation of employers, primarily in financial services, in all aspects of employment law and employee relations. She also serves as co-head of the firm’s Cybersecurity Group. Holly litigates disputes involving restrictive covenants, ERISA claims, executive compensation, employment agreements, statutory employment discrimination claims, and common law tort and contract claims in federal and state courts, before administrative and government agencies and in arbitral forums. She advises employers on employment law compliance, best practices, human resources matters, hiring and termination, and litigation avoidance; drafts and negotiates employment agreements, separation agreements, data security and privacy policies and other employment-related agreements; and provides training and conducts investigations.

Holly is ranked as a leading lawyer by The Best Lawyers in America and as one of the “Top Women Attorneys in the New York Metro Area” by New York Super Lawyers. She also serves as a member of the Labor and Employment Law Section of the New York State Bar Association. A recognized thought leader, Holly has authored or co-authored numerous articles of interest to employers, recent examples of which include “SCOTUS to Tackle Interaction of FAA, NLRA on Arbitration Agreement Issue” and “‘Scrollwrap’ Agreement to Arbitrate Held Enforceable While ‘Clickwrap’ Is Not,” both appearing as part of the regular column she co-authors for the New York Law Journal. She co-authored Hedge Funds: Formation, Operation and Regulation, published by ALM Law Journal Press and wrote a Practice Note for Practical Law on “Hedge Fund Employee Compensation.” A highly sought-after speaker, Holly recently discussed “Labor Law – Overview Regarding Intro 1253 from an Attorney’s Perspective” at the McLagan Alternative Asset Management Fall Conference, covered “Employment-Related Developments Impacting Hiring: Ban on Inquiries Relating to Compensation History, Ban the Box, and Credit History” at Goldman Sachs 12th Annual Hedge Fund Human Capital Management Seminar and discussed “Avoiding Litigation in Workforce Cases” at Benchmark Women in Litigation East conference. Holly earned a J.D. from the University of Virginia School of Law and a B.A. from Emory University.


Joan Loughnane is Chief Counsel to the U.S. Attorney for the United States Attorney’s Office for the Southern District of New York.  Ms. Loughnane has been with the Office for fourteen years, and has held various supervisory positions since 2009.

Ms. Loughnane began her career with the U.S. Attorney’s Office for the Southern District of New York in 2002.  In 2009, she became the Co-Chief of the General Crimes Unit, where she served from 2009 to 2011.  From 2011 to 2014, Ms. Loughnane was a Deputy Chief of the Criminal Division, and in 2015, she served as the Acting Chief of the Complex Frauds and Cybercrime Unit.  From 2015 to early 2017, Ms. Loughnane was Chief Counsel to the U.S. Attorney.  In 2017, Ms. Loughnane served as Deputy U.S. Attorney.

Ms. Loughnane graduated cum laude from Harvard College in 1992 and with distinction from Stanford Law School in 1998.  Ms. Loughnane previously served as a law clerk to the Honorable Lewis A. Kaplan, United States District Judge for the Southern District of New York.


Joe Petrosinelli is a partner at Williams & Connolly LLP and Co-Chair of the firm’s Criminal Defense and Government Investigations practice group.  He also is a member of the firm’s Executive Committee.  Mr. Petrosinelli has tried numerous criminal and civil cases in federal and state courts across the country, and has represented clients in litigation and investigations matters in Europe, Africa, Asia, Latin America, and the Caribbean.  He has defended both individuals and corporations against allegations of mail and wire fraud, false claims, government contracts fraud, FCPA violations, public corruption, healthcare fraud, and securities violations.  He and two of his partners successfully represented the petitioner before the U.S. Supreme Court in Cleveland v. United States, 531 U.S. 12 (2000), a leading case on the interpretation of the federal mail and wire fraud statutes.


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.


Marc P. Berger was named Director of the New York Regional Office in December 2017.  The New York office has responsibility for the largest concentration of SEC-registered financial institutions, including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds.

Before serving at the Commission, Mr. Berger was global co-head of Ropes & Gray LLP’s Securities and Futures Enforcement Practice.  His practice focused on white-collar criminal defense, regulatory enforcement, and internal investigations. 

From 2002 to 2014, Mr. Berger served as an Assistant U.S. Attorney in the Southern District of New York, including serving as Chief of that office’s Securities and Commodities Fraud Task Force.  In that role, he supervised the investigation and prosecution of some of the nation’s highest profile financial and investment fraud cases, including the largest crackdown on hedge fund insider trading in U.S. history.  As a prosecutor, Mr. Berger also personally investigated and tried a wide variety of cases involving securities and commodities fraud, as well as other crimes.

Mr. Berger earned his bachelor’s degree with distinction from Cornell University in 1996 and his law degree from the University of Virginia School of Law in 1999.  Before joining the U.S. Attorney’s Office in Manhattan, he served as a law clerk for the Honorable Richard M. Berman of the U.S. District Court for the Southern District of New York.


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.


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.


Tom Hanusik is a partner in Crowell & Moring's White Collar & Regulatory Enforcement Group, which Law360 recognized as a "White Collar Group of the Year" and an "FCPA Powerhouse." InsideCounsel identified Tom as one of the "The Best Lawyers to Call in a Worst-Case Scenario" for a white collar investigation in its "Crisis Rolodex" and he was included on SecuritiesDocket's inaugural "Enforcement 40" list of the top SEC Enforcement attorneys. Tom is Chambers ranked in white collar & government investigations and has been recognized consistently in The Best Lawyers in America for white-collar criminal defense and securities regulation.

Tom's practice focuses on DOJ white-collar defense, SEC Enforcement, FINRA Enforcement and internal investigations. Tom leads internal investigations on behalf of companies, boards of directors and board committees, and he advises corporate clients on remedial measures, compliance programs and training. His recent engagements have focused on allegations of financial fraud, insider trading, FCPA violations, AML controls, federal and state tax offenses, public corruption, U.S. export controls and sanctions regulations.


Steve D’Alessandro is Co-Head of the Government Investigations and Regulatory Enforcement group (GIRE) in the Legal Department of JPMorgan Chase & Co.

Prior to joining the JPMorgan, Steve was a partner in the law firm of Holland & Knight LLP where he represented companies and individuals in criminal matters and conducted internal investigations.  Before private practice, Steve was an Assistant U.S. Attorney in the Criminal Division of the U.S. Attorney for the Eastern District of New York.


James J. Benjamin Jr., a leader of Akin Gump’s securities enforcement and litigation practice group, represents institutional and individual clients in a wide variety of government and regulatory investigations and litigation. He has served as lead counsel in numerous internal investigations and has conducted numerous jury trials. He has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business in the areas of white-collar crime and government investigations.  Before joining Akin Gump, Mr. Benjamin served for more than five years as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he served as deputy chief appellate attorney and as a member of the Securities and Commodities Fraud Task Force. Mr. Benjamin previously served as a law clerk at the U.S. Supreme Court for Justices Lewis F. Powell Jr. and John Paul Stevens. He received his A.B. magna cum laude in 1987 from Dartmouth College, where he was a member of Phi Beta Kappa, and he earned his J.D. with honors in 1990 from the University of Virginia School of Law, where he was the research and projects editor of the Virginia Law Review.


Richard Tarlowe is a partner in the Litigation Department of Paul, Weiss, Rifkind, Wharton & Garrison, where he focuses his practice on white collar and regulatory defense, government investigations, cybersecurity and high-stakes litigation. Richard regularly counsels corporations and senior executives in internal investigations and in all stages of criminal and regulatory investigations and proceedings.  Prior to joining Paul, Weiss, Richard served for eight years as an Assistant U.S. Attorney in the Southern District of New York, where he was Chief of the Complex Frauds and Cybercrime Unit and a member of its Securities & Commodities Fraud Task Force. Richard oversaw the investigation and prosecution of a wide array of white collar matters, including sophisticated financial frauds, cybercrimes, Foreign Corrupt Practices Act (FCPA) violations, criminal tax offenses and health care fraud. He played a critical role in the government's crackdown on insider trading and litigated some of the most significant and high-profile securities fraud trials in the country, including the successful insider trading prosecution of Rajat Gupta, a former Goldman Sachs board member and chair of McKinsey & Co. Richard also handled cases involving public corruption, investment advisor fraud, accounting fraud and market manipulation. During his tenure as a federal prosecutor, Richard conducted numerous jury trials and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit.  Mr. Tarlowe graduated summa cum laude from Duke University and received his law degree magna cum laude from Harvard Law School.


Elaine Mandelbaum is Managing Director and General Counsel of Litigation and Regulatory Enforcement of Citigroup’s Institutional Clients Group (ICG).  Her group is responsible for all litigation, arbitrations, internal investigations and regulatory and law enforcement investigations and enforcement proceedings for Citigroup’s institutional businesses, including corporate and investment banking, sales and trading, capital markets origination, securities services, trade and treasury services and private banking.  Elaine also is a member of the Global ICG Legal Management Committee.

Prior to starting at Citigroup in 1997, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison.  She is Executive Vice President of the SIFMA Compliance & Legal Society, and was Chair of SIFMA C&L’s 2015 Annual Seminar.  She was Vice Chair of the FINRA National Adjudicatory Council, the appellate body for decisions rendered in FINRA disciplinary and membership proceedings.  Elaine is on the Board of Directors of the Legal Action Center and the National Council of Jewish Women, and was the recipient of the 2015 “Woman Who Dared” Award from the NCJW.

Elaine is a frequent speaker at PLI, SIFMA and other industry conferences on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry.  She is an honors graduate of Yale College and of Harvard Law School.