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Global Reach: Recent Developments in Cross-Border Investigations of Financial Institutions

Speaker(s): Katherine J. Stoller, Samuel W. Seymour
Recorded on: Apr. 2, 2020
PLI Program #: 297842

Sam Seymour is a member of Sullivan & Cromwell’s Criminal Defense and Investigations Group. He concentrates in white-collar criminal defense, regulatory enforcement matters and internal investigations.

Mr. Seymour has represented clients in many high-profile investigations involving allegations of accounting fraud, securities fraud, foreign bribery, price fixing, economic sanctions violations, money laundering and obstruction of justice. He represents individuals and institutions in enforcement matters across a broad range of financial and industrial business sectors worldwide.

Mr. Seymour’s practice also encompasses commercial litigation and arbitration matters, including derivative cases, shareholder actions and complex contract disputes.

Widely recognized for his professional achievements, Mr. Seymour has held leadership positions in numerous organizations serving the legal and educational communities. Mr. Seymour served as President of the New York City Bar Association (2010-2012). He is currently Chair of the Board of the Practising Law Institute.

Mr. Seymour is a frequent speaker on legal enforcement issues, and authored the chapter “The Interplay Between Commercial Litigation and Criminal Proceedings” in the treatise Commercial Litigation in New York State Courts, Third Edition.

Katherine Stoller, counsel in the Firm’s Litigation practice, has wide-ranging experience involving white-collar criminal defense, internal investigations, regulatory enforcement matters, and securities and other complex litigation.

Katherine’s practice focuses on the representation of corporations, financial institutions, and individuals in investigations involving allegations of securities fraud, money laundering, economic sanctions violations, price fixing, accounting fraud, insider trading and the False Claims Act. She has represented companies and individuals under investigation by the U.S. Department of Justice, the Securities and Exchange Commission, the Federal Reserve Bank of New York and the Office of Foreign Assets Control. She frequently represents financial institutions in parallel regulatory and criminal investigations.

Katherine also represents clients in a wide range of civil litigation, including securities and contract disputes. She has experience representing clients located outside the United State in cross-border litigation as well as enforcement investigations.