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The Attorney-Client Privilege and Internal Investigations 2020


Speaker(s): Alixandra Smith, Julian J. Moore, Winston M. Paes
Recorded on: Aug. 4, 2020
PLI Program #: 273874

Alixandra Smith is the Chief of the Business and Securities Fraud Section at the United States Attorney’s Office for the Eastern District of New York (“EDNY”).  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 on the case United States v. Martin Shkreli and Evan Greebel, in which a pharmaceutical executive and his attorney were charged with securities fraud, wire fraud conspiracy and securities fraud conspiracy in connection with four complex fraud schemes.  Both defendants were tried and convicted in separate trials lasting a combined total of 17 weeks in 2017.  In addition, Alix led the Office’s team that, along with the Department of Justice’s Fraud Section, investigated and prosecuted United States v. Odebrecht and United States v. Braskem, collectively one of the largest foreign bribery cases in history.  In that case, Brazilian-based companies Odebrecht and Braskem pled guilty to conspiracy to violate the FCPA for their roles in a bribery scheme that involved payments of close to a billion dollars over a 15-year period to foreign government officials in Brazil and twelve other countries to obtain and retain business in those countries.  Alix was also the lead criminal prosecutor for United States v. AmerisourceBergen Specialty Group, in which a subsidiary of a major pharmaceutical company pled guilty to a violation of the Federal Food, Drug and Cosmetics Act for the illegal distribution of misbranded oncology drugs, and paid a total of $885 million in criminal and civil penalties. 

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.

 

 

 


Julian is a Partner in the Investigations and Litigation Group at Allen & Overy. He represents companies, officers, directors, and executives in white-collar criminal cases, securities and regulatory enforcement matters, anti-corruption and internal investigations, related complex litigation (including trial-ready civil litigation), and compliance matters. These matters include complex domestic and international disputes, investigations, and enforcement actions by regulatory authorities, including the DOJ, SEC, and various other federal and state agencies. Julian's practice also includes the design, implementation, and review of anti-bribery and corruption (ABC) compliance programs, and ABC due diligence in connection with corporate transactions.

Before joining Allen & Overy, Julian was a Senior Managing Director, and member of the leadership team, at K2 Intelligence, an international investigative, compliance, and cyber defense services firm. His practice focused on large-scale and high-profile corporate investigations involving corruption and various types of fraud; and investigations in support of high-stakes international and domestic legal disputes.

Previously, Julian served as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York (SDNY) where he was a member of the Securities and Commodities Fraud Unit. Among his many prominent cases at SDNY, Julian served as a lead prosecutor in the investigation of the Bernard L. Madoff Ponzi Scheme, the largest financial crime in world history.

In addition to his service as a federal prosecutor, Julian served as Deputy Attorney General for New York State and Deputy Chief of Investigations for the Moreland Commission to Investigate Public Corruption, an executive commission established by the Governor of New York, in coordination with the Attorney General of New York, to probe systemic public corruption and the appearance of such corruption in New York government, political campaigns, and elections.

Upon graduation from law school, Julian served as a law clerk to the Hon. Kim McLane Wardlaw of the U.S. Court of Appeals for the Ninth Circuit.

Julian has earned numerous awards and commendations during his career, including being named to Crain’s New York Business, “40 Under 40” Class of 2016. He currently serves as a member of the Board of Directors, Vice Co-Chair of the Executive Committee and Co-Chair of the Board Governance Committee of The Trevor Project, the leading national organization providing crisis intervention and suicide prevention services to lesbian, gay, bisexual, transgender, queer and questioning (LGBTQ) young people under 25. Julian is a lifelong member of the National Association for the Advancement of Colored People (NAACP), the nation’s oldest and largest civil rights organization, and has been honored numerous times throughout the years by the entity. He is a member of the American Constitution Society (Founding Member, Columbia Law School, 2001), American Bar Association, New York State Bar Association, and New York City Bar Association (Committee on Government Ethics, 2008-2010).


Winston M. Paes is a member of the White Collar & Regulatory Defense Group. His practice focuses on white collar criminal defense, regulatory enforcement and internal investigations.  In this capacity, Mr. Paes has represented large financial institutions, corporate executives and traders in investigations by the Department of Justice and Securities and Exchange Commission.

Prior to joining Debevoise in 2017, Mr. Paes served for nine years as an Assistant U.S. Attorney in the Eastern District of New York, the final two years of which he spent as Chief of the Business and Securities Fraud Section.  As Section Chief, Mr. Paes supervised a team of 20 experienced federal prosecutors focused on white collar matters. Under his leadership, the EDNY significantly expanded its white collar practice and prosecuted a number of the Department of Justice’s most high-profile matters. Before his appointment as a Section Chief, Mr. Paes also served as the Deputy Chief of the Business and Securities Fraud Section and Supervisor of its Medicare Fraud Task Force.  During his tenure as a federal prosecutor, he successfully tried 10 jury trials, including six white collar trials, and argued 12 appeals before the U.S. Court of Appeals for the Second Circuit. He is also a recipient of the Department of Justice Director’s Award for Superior Performance and the Inspectors General Council’s Excellence in Litigation Award.

Mr. Paes earned his J.D. magna cum laude from Brooklyn Law School in 2003, and received his B.A. magna cum laude from the State University of New York, Stony Brook in 1998.