Christopher L. Garcia is Co-Head of Weil’s global White Collar Defense, Regulatory and Investigations practice, where he focuses on defending companies and individuals in connection with regulatory and criminal investigations, conducting internal investigations, and litigating securities class actions in state and federal courts across the U.S. He also counsels boards of directors, executives, broker-dealers, and investment advisers on securities and corporate governance issues, and regulatory compliance, among other things. Mr. Garcia is also a member of the Firm’s Cybersecurity, Data Privacy & Information Management group.
Prior to joining Weil, Mr. Garcia was Chief of the Securities and Commodities Fraud Task Force in the US Attorney’s Office for the Southern District of New York. In this role, he led a unit of more than 35 prosecutors, law enforcement agents, and staff in all aspects of securities fraud investigations, trials, appeals, and other litigations. During his tenure, he supervised the investigation and prosecution of more than 300 cases, including matters arising out of the 2008 financial crisis and in areas of corporate fraud, consumer fraud, insider trading, fraudulent investment schemes, and the Foreign Corrupt Practices Act (FCPA).
Mr. Garcia has obtained a number of awards from legal and business publications. The National Law Journal named him a White Collar, Regulatory & Compliance “Trailblazer” in 2018. He is also recognized as a “recommended” lawyer nationwide in the White Collar area by Legal 500, and is ranked as a Leading Lawyer for White Collar Crime & Government Investigations in New York by Chambers USA.
Mr. Garcia is a fixture in the academic and legal community. He is a regular speaker and writer on securities litigation, enforcement, and white collar topics, including cybersecurity, social media communications and related SEC disclosure issues, the FCPA and anti-corruption enforcement, and insider trading. He also has been featured in Bloomberg, Forbes, and Reuters, among other publications.
Mr. Garcia received his law degree from Harvard Law School, where he served as Senior Editor of the Journal of Law and Public Policy and as President of the Board of Student Advisers. He also received his A.B., magna cum laude, from Harvard College.
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.
David B. Anders is a partner in Wachtell Lipton’s Litigation Department. His practice focuses on the representation of Fortune 500 and other companies in connection with the defense of regulatory, white-collar criminal and complex civil litigation matters. He also regularly advises clients in connection with internal investigations and corporate governance and compliance reviews.
Prior to joining the firm, Mr. Anders served as an assistant United States attorney for the Southern District of New York from September 1998 through December 2005. During his time at the United States Attorneys’ Office, he investigated and prosecuted a wide variety of securities, commodities, and other investment fraud schemes, money laundering, immigration, racketeering, and associated violent crime. He tried 13 felony cases to verdict, and briefed and argued numerous appeals before the United States Court of Appeals for the Second Circuit. He was involved in several significant prosecutions during that time, including the investigation and prosecution of the fraud at WorldCom.
Mr. Anders is a 1991 graduate of Dartmouth College with an A.B. in government and graduated from Fordham University School of Law in 1994. He served as law clerk to the Honorable Denny Chin of the United States District Court in the Southern District of New York (1995-96).
Mr. Anders is a 1991 graduate of Dartmouth College with an A.B. in government and graduate from Fordham University School of Law in 1994. He served as law clerk to the Honorable Denny Chin of the United States District Court in the Southern District of New York (1995-96)
Mr. Anders is a frequent speaker at bar associations and professional organizations on issues relating to securities and commodities fraud and internal investigations. He was an associate adjunct professor at Fordham University School of Law from 1997 through 2006. In 2005, The National Law Journal selected him as one of the country’s top 40 lawyers under 40. Mr. Anders is the President of the Board of Directors of the Fordham Law School Alumni Association and a director of several non-profit boards. Mr. Anders has been recognized by Chambers USA: Guide to America’s Leading Lawyers in Business as a leading lawyer in litigation; by Lawdragon as one of the 500 leading lawyers in America; by Benchmark: Litigation as one of the leading litigators in New York and in the country; and by Best Lawyers and Super Lawyers as one of the Leading lawyers in the field of Criminal Defense: White-Collar Crime. Mr. Anders served on the New York State White-Collar Task Force, which was charged with examining New York’s white-collar crime laws with the goal of recommending legislative and executive changes.
Honorable Denny Chin, United States District Court, Southern District of New York, 1995 – 1996
F. Joseph Warin is chair of the 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. Mr. Warin’s practice includes 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.
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.
Mr. Warin’s group was recognized by Global Investigations Review in 2020 as the leading global investigations law firm in the world. This is the fifth time in six years to be so named. Global Investigations Review reported that Mr. Warin has now advised on more FCPA resolutions than any other lawyer since 2008. In 2016 Who’s Who Legal and Global Investigations Review named Mr. Warin to their list of World’s Ten-Most Highly Regarded Investigations Lawyers based on a survey of clients and peers, noting that he was one of the “most highly nominated practitioners,” and a “’favourite’ of audit and special committees of public companies.” Best Lawyers® named Mr. Warin the Lawyer of the Year in 2020 and in 2016 for White Collar Criminal Defense in the District of Columbia, and he was named among the Lawdragon 500 Leading Lawyers in America in 2020.
Mr. Warin has handled cases and investigations in more than 40 states and dozens of countries. His clients include corporations, officers, directors and professionals in regulatory, investigative and trials involving federal regulatory inquiries, criminal investigations and cross-border inquiries by dozens of international enforcers, including UK’s SFO and FCA, and government regulators in Germany, Switzerland, Hong Kong, and the Middle East. His credibility at DOJ and the SEC is unsurpassed among private practitioners – a reputation based in large part on his experience as the only person ever to serve as a compliance monitor or counsel to the compliance monitor in three separate FCPA monitorships, pursuant to settlements with the SEC and DOJ: Statoil ASA (2007-2009); Siemens AG (2009-2012); and Alliance One International (2011-2013). 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.
Mr. Warin’s civil practice includes representation of clients in complex litigation in federal courts and international arbitrations. He has tried 10b-5 securities and RICO claim lawsuits, hostile takeovers and commercial disputes. He has handled more than 40 class action cases across the United States for investment banking firms, global corporations, Big 4 accounting firms, broker-dealers and hedge funds.
Joon H. Kim is a partner based in Cleary Gottlieb’s New York office. His practice focuses on white-collar criminal defense, internal corporate investigations, regulatory enforcement, and crisis management, as well as complex commercial litigation and arbitration.
Joon has enjoyed a distinguished career over two decades at high levels of government and in private practice at the firm, personally trying over a dozen federal jury trials and actively participating in dozens more.
From March 2017 to January 2018, he served as the Acting U.S. Attorney for the Southern District of New York. As the most senior federal law enforcement officer in the district, he oversaw all criminal and civil litigation conducted on behalf the United States and supervised the work of about 220 Assistant U.S. Attorneys handling a wide range of cases, including securities fraud, cybercrime, domestic and foreign corruption, money laundering, tax litigation, terrorism, racketeering, Bank Secrecy Act and sanctions violations, theft of trade secrets, and economic espionage, as well as civil rights, false claims act, civil enforcement, and environmental matters. Before becoming Acting U.S. Attorney, Joon served in various leadership positions in the office, including Deputy U.S. Attorney, Chief of the Criminal Division, and Chief Counsel to the U.S. Attorney.
Joon joined the firm in 1997 as an associate in the litigation group. From 2000 to 2006, he was an Assistant U.S. Attorney in the Southern District of New York. From 2006 to 2013, he was part of the firm’s enforcement and litigation group, becoming partner in 2009. He has represented major financial institutions, global conglomerates, and senior executives in criminal and regulatory matters, as well as in complex civil litigation and international arbitration. He rejoined the firm in 2018.
Lisa LeCointe-Cephas is the head of the Global Investigations organization for Merck. Lisa manages a team of lawyers around the world who are responsible for conducting internal investigations related to breaches of Merck’s policies, the Foreign Corrupt Practices Act and international anti-bribery and anti-corruption laws. Lisa is also responsible for managing the company’s response to government and regulatory proceedings around the world.
Lisa joined Merck in February 2018 from Bristol-Myers Squibb Corp. (“BMS”), where Lisa served as the lead Government Investigations counsel. Prior to BMS, Lisa was a partner in the Government Investigations and White-Collar Defense practice of Kirkland & Ellis LLP.
Lisa received her BA in Psychology from Yale University and received her JD from Columbia Law School.
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.
Lynn A. Neils’ practice focuses on representing companies and individuals on matters related to white collar criminal defense, internal investigations, regulatory enforcement, corporate compliance and complex commercial litigation. Drawing on her extensive prosecutorial, corporate and private practice experience that spans more than twenty-five years, she has counseled clients in large-scale federal criminal investigations, as well as advised clients on the Foreign Corrupt Practices Act (FCPA) and other regulatory matters involving the SEC and federal, state and foreign regulators. Ms. Neils has significant trial experience in both the federal and state courts.
Ms. Neils is highly regarded by clients for her ability to "look at the full picture to get an understanding of what is going on" and her "impressive level of depth” (Chambers USA, Litigation: White-Collar Crime & Government Investigations, 2015).
Ms. Neils served as an Assistant United States Attorney in both the Southern District of New York (SDNY) and the District of New Jersey. During her more than 11 years as an Assistant United States Attorney, Ms. Neils worked on a wide variety of complex white collar cases, including securities fraud, accounting fraud, bank fraud, Bank Secrecy Act, tax fraud, wire fraud, money laundering, health care fraud, art fraud, insurance fraud, FCPA, U.S. sanctions and obstruction of justice matters.
In 2004, she was promoted to Chief of the Major Crimes Unit in the SDNY where she supervised approximately 20 senior Assistant United States Attorneys in handling the investigation and prosecution of a wide variety of complex, and often multinational, white collar cases. In that role, she coordinated with multiple prosecutorial and regulatory offices, including many outside the United States, including the U.K. Serious Fraud Office and the Financial Services Agency. She also acted as a liaison with the banking regulators in New York, including the Federal Reserve Bank, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency.
For several years, Ms. Neils also served as Senior Counsel at Johnson & Johnson and was responsible for handling a large caseload of criminal and civil matters; conducting internal investigations; advising on compliance and regulatory matters, including those related to the FCPA; and conducting training of employees on regulatory and legal matters, including those related to the FCPA and other anti-corruption laws and regulations.
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.
Mei Lin Kwan-Gett is Citigroup’s Deputy General Counsel and Head of Global Litigation and Regulatory Investigations, where she supervises a worldwide litigation and investigations team. Prior to joining Citigroup, Ms. Kwan-Gett was a partner at the law firm of Willkie Farr & Gallagher, LLP, where she was co-head of the firm’s white collar defense practice group and specialized in regulatory and enforcement matters, internal investigations, and complex commercial litigation. Prior to joining Willkie Farr, Ms. Kwan-Gett worked at the U.S. Attorney’s Office for the Southern District of New York as Deputy Chief of the Criminal Division. She also served as Special Investigative Counsel for the Office of the Inspector General for the U.S. Department of Justice. She began her career as a Law Clerk in the U.S. Court of Appeals for the Second Circuit.
Ms. Kwan-Gett is a former Chair of the Board of Directors of the City Bar Fund and was a Vice President of the Association of the Bar of the City of New York, and she is a member of the Practising Law Institute’s Board of Trustees.
Mei Lin earned her AB from Harvard College and her JD from Yale Law School.
Ms. Beamon, a partner in Davis Polk’s Litigation Department and a former federal prosecutor, has successfully represented individuals and institutions in their most critical situations. She is recognized by Chambers USA as a Band 1 lawyer for her work in the white collar and investigations space, with clients describing her as a “phenomenal lawyer” who is “very smart” and “incredibly strong” and who won praise for her handling of a number of “sophisticated cases.”
Her matters have included grand jury, regulatory and independent investigations, representing companies, board of directors and individuals in connection with allegations of sexual misconduct, securities fraud, criminal tax violations, foreign corrupt practices, anti-money laundering and pharmaceutical marketing violations, among other areas. Her complex civil matters have involved allegations under the False Claims Act, consumer protection and whistleblower provisions, and other state and federal statutes. Ms. Beamon also has participated in a number of confidential internal investigations on behalf of clients and has advised corporations and boards of directors on matters of corporate governance and compliance. In addition, the FBI requested that she train its agents on insider trading.
Ms. Beamon served as an Assistant U.S. Attorney for the U.S. Attorney’s Office, Southern District of New York, where she conducted numerous investigations and criminal trials. She received her J.D., summa cum laude, from University of Pittsburgh School of Law and her B.A., with honors, from University of Notre Dame.
Nancy Kestenbaum is a partner in Covington’s New York office and is Co-Chair of Covington's White Collar Defense and Investigations Practice Group. Earlier in her career, Nancy served for nearly ten years as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York. Over the past fifteen years while at Covington, Nancy has represented many companies, individuals and boards in a wide variety of criminal and civil enforcement investigations and internal investigations, including clients in the financial services, life sciences, energy, defense, consumer products and technology industries.
In the past several years, Nancy has been at the forefront of investigations of sexual misconduct and abuse. For example, Nancy represents the United States Olympic Committee and has led numerous investigations into these issues including for the Board of Directors of CBS; schools around the country such as Choate Rosemary Hall and schools in New York and California; and non-profits such as the Madison Square Boys & Girls Club.
Samuel J. Winer is a partner in the Washington, D.C. office of Foley & Lardner, specializing in the representation of public companies, board members, senior executives, auditors, and financial services firms before the SEC and other regulators.
Sandy graduated from Boston University School of Law in 1974, where he served as an editor in the law review. After graduation, he served as a law clerk to the Chief Justice of the Supreme Court of Rhode Island and as special counsel in the Division of Enforcement of the SEC before going into private practice. Sandy has been a partner at Foley since 1995.
Mr. Winer has also been selected by his peers to be included in The Best Lawyers in America© since 2006 and was named the Washington, D.C. Securities/Capital Markets Law Lawyer of the Year by Best Lawyers® in 2015 and the Washington, D.C. Litigation – Securities Lawyer of the Year in 2017. He was rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2009-2017 and one of the top regionally in the District of Columbia for 2007, 2008, and 2009. Mr. Winer was selected for inclusion in the Washington, D.C. SuperLawyers® lists for 2008-2017.
Cheryl Scarboro, formerly an Associate Director in the SEC’s Division of Enforcement and the first Chief of the SEC’s FCPA Unit, is a Partner in the Washington, D.C. office of Simpson Thacher & Bartlett LLP and a member of the Firm’s Government and Internal Investigations Practice. She represents corporations, financial institutions and individuals in government investigations and other regulatory enforcement proceedings. Cheryl handles sensitive internal investigations on behalf of management, boards, and special committees, and routinely counsels clients on compliance programs, SEC reporting, disclosure and corporate governance requirements.
Selected representations include:
She is recognized as one of the “25 Most Influential Women in Securities Law” by Law360, and is consistently listed in the “Top 250 Women in Litigation” by Benchmark Litigation where market commentators describe her “huge place in the FCPA world”; “She was the leader of the SEC in the FCPA field and brings a wealth of experience to the table.” Cheryl was also recently named to Savoy Magazine’s “2018 Most Influential Black Lawyers” list. In addition, Cheryl was named to the “Enforcement 40” by the Securities Enforcement Forum, she is consistently recommended by The Legal 500 in white collar, and was named a National and Washington, D.C. “Litigation Star” by Euromoney's Benchmark Litigation in white collar.
She earned her J.D. from Duke University School of Law in 1989 and her B.A. from University of Alabama in Huntsville in 1986.
Jason Cowley is a partner in the New York and Charlotte offices of McGuireWoods LLP, where he is a member of the firm’s Government Investigations and White Collar Litigation department. He principally represents financial institutions, investment funds, corporations, and executives in criminal investigations and trials, regulatory enforcement proceedings, and complex civil litigation. Prior to joining McGuireWoods, he served for over thirteen years in the Department of Justice including as an Assistant United States Attorney for the Southern District of New York from 2011 to 2020. During his tenure at SDNY, Jason served as Co-Chief of the Office’s Securities and Commodities Fraud Task Force and Chief of the Office’s Money Laundering and Asset Forfeiture Unit. As a prosecutor, Mr. Cowley tried over a dozen federal criminal jury trials.
Michael Delikat, a partner in the New York office, was the previous Chair of Orrick's Global Employment Law Practice for over twenty years, which has employment law teams in the European Union, Asia as well as the United States.
He also is the founder of the firm’s Whistleblower Task Force. He previously served as the Managing Director of Orrick’s Litigation Division.
Under Mike's leadership, Orrick’s Employment Law & Litigation group was recently named Labor & Employment Department of the Year in California for the fourth consecutive year by The Recorder, the premier source for legal news, in recognition of their significant wins on behalf of leading multinational companies on today’s most complex and challenging employment law matters. The practice group has also been chosen as one of the top national employment law practices by Law 360. Chambers USA and Chambers Global has ranked him in Band 1 since it began publishing its rankings, noting he is a "giant of the employment bar, widely regard as an expert in whistleblowing matters and sex harassment claims","sought out by premier clients to handle high-stakes employment litigation and investigations," and "a very persuasive advocate who knows the law inside out and is able to get to the heart of the issue very quickly."
He represents a broad range of major corporations and other institutions including law firms in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases.
He currently has an active practice representing a number of major corporations in the defense of Sarbanes-Oxley Act and other whistleblower claims and is the coauthor of the only extensive treatise published on whistleblowing and internal investigations, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era. He is regularly retained by boards of directors and audit committees to conduct high exposure internal investigations of corporate wrongdoing.
Mike is published and quoted frequently on a variety of employment law issues in major academic and business publications and is a frequent speaker at national and international programs. He is the outgoing management chair of the ABA International Employment Law Committee. He also is an Advisory Board Member of the Harvard Law School Program on Corporate Governance. About the HLS Forum on Corporate Governance (harvard.edu)
Resident in Covington’s London office, Mark Finucane specializes in conducting investigations and providing compliance advice on complex cross-border anti-corruption matters. This includes representing clients in major multilateral investigations involving U.S. enforcement authorities, as well as advisory matters on compliance program obligations under the U.S. Foreign Corrupt Practices Act. Most recently, Mr. Finucane has handled major investigations by U.S. enforcement authorities relating to companies with operations and joint ventures in Ghana, Mozambique, Nigeria, Iraq, and China. .
• Representing a major financial institution in multi-agency investigation of foreign bribery relating to hiring practices.
• Representing a special committee of the board of directors of a global non-profit organization in internal investigation of foreign bribery issues.
• Representing a major financial institution in investigations into debt collection and foreclosure practices by state and federal regulators.
• Representing two major financial institutions in criminal investigations related to alleged tax shelters.
• Representing a major financial institution in U.S. Department of Justice investigation into the creation and underwriting of mortgage-backed securities.
• Representing an energy production company in preliminary injunction litigation arising out of a consent solicitation.
• Representing a private equity fund in litigation arising out of the fund’s successful acquisition of a company in a bidding war.
• Representing an energy services company in insurance litigation over damage caused by Hurricane Sandy.
• Representing a major sports league in insurance dispute and underlying litigation.
Stanford Law School, J.D.
University of California, Santa Cruz, B.A.
Rob Stern is the Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group and a nationally recognized securities litigator by both Chambers USA (Band 1) and Legal 500 (Leading Lawyer).
Rob has a demonstrated track record of achieving outstanding results for financial services institutions, Fortune 100 companies, officers and directors of public companies and accounting firms. Rob's mastery of the field enables him to develop creative litigation strategies and business solutions for his clients in a broad array of situations.
For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters. Rob has litigated dozens of securities and commodities class actions and the parallel SEC, CFTC, PCAOB and/or criminal enforcement matters that accompany them. Rob has also tried numerous FINRA, AAA and international arbitrations and litigated merger and acquisition disputes in Delaware Chancery Court. Rob possesses particular expertise litigating claims involving accounting-related matters, structured products, mortgages, futures and derivatives.
In addition to being a recognized practitioner, Rob is also a thought leader -- lecturing and publishing widely. Rob is a faculty member of Practicing Law Institute’s Securities Litigation program and Chairs PLI's Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk program. Rob has also spoken on Bond Buyer webinars, NERA's Securities and Finance Seminar, the Advanced Litigation Strategy Summit and Strafford Seminars.