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Internal Investigations 2020


Speaker(s): A. Brad Busscher, Anne C. McKinley, Anthony F. Fata, Carrie Di Santo, Christina M. Egan, Daniel J. Collins, Elizabeth A. Coleman, Gary Kleinrichert, Jason Yonan, John J. Sikora, Jr., Jonathan R. Barr, Junaid A. Zubairi, Kathryn A. Pyszka, Kevin M. Robinson, Mark D. Pollack, Megan Cunniff Church, Paul M.G. Helms, Steven M. Malina, Steven S. Scholes
Recorded on: Oct. 14, 2020
PLI Program #: 301998

20+ years helping investors, financial professionals, traders, businesses and entrepreneurs overcome legal challenges. 
Court-selected to lead complex class actions. 
Tireless advocate and practical thinker who maximizes settlement opportunities. 
Client-Focused attorney who understands how legal matters impact the bottom line. 
Adjunct professor of securities, broker-dealer, financial crimes, and corporate governance courses. 

EXPERIENCE

CCMS LLP  | 2003-Present | Chicago | Equity Partner

  • Litigation boutique.
  • Complex and class litigation; securities, commodities and antitrust; financial industry regulatory defense.

McDermott | 1999-2003 | Chicago | Associate

  • International, full-service firm.
  • SEC defense, securities litigation, class action defense

LEADERSHIP

Securities Co-Chair Chicago Bar Association 
Adjunct Professor Seton Hall University School of Law 
Judicial Investigator Chicago Bar Association 
Editorial Board CBA Record 
Investigations Faculty Practising Law Institute 

EDUCATION

The Ohio State University College of Law 
J.D. with honors 
Order of the Coif
Managing Editor Journal on Dispute Resolution 

Miami University, B.A.  
Student Foundation 
 


Carrie Di Santo is Managing Director, Enterprise Risk Management and Global Chief Compliance Officer at CME Group in Chicago, where she oversees Enterprise Risk Management, Compliance, and Privacy/Information Governance. 

She previously served as Global Chief Compliance Officer at Aon Corporation in Chicago; General Counsel of Aon’s UK subsidiary based in London; and partner at Baker & McKenzie LLP in Chicago.   She is the President of the Board of the Chicago Bar Foundation, has served on the Board of Managers of the Chicago Bar Association, and served as chair of National Immigrant Justice Center’s Annual Human Rights Luncheon. 

She is a frequent speaker on issues of international compliance and regulatory matters including privacy and cybersecurity, Foreign Corrupt Practices Act, compliance programs and internal investigations.  She acts as a guest lecturer at the Northwestern University School of Law, Loyola University School of Law and University of Illinois College of Law.  

Ms. Di Santo is a graduate of the University of Notre Dame Law School and Augustana College. 


Daniel Collins is a nationally recognized trial lawyer who represents clients in a variety of complex litigation matters. An award-winning former federal prosecutor, Dan regularly interacts with the Department of Justice, the Securities and Exchange Commission and other government agencies. Dan co-leads the firm’s litigation practice group, comprising over 250 lawyers and other professionals.

Dan is a fellow of the American College of Trial Lawyers, a distinction reserved for the top one percent of trial lawyers across the United States and Canada. He also has been recognized repeatedly by Chambers USA: America’s Leading Lawyers for Business, in which clients and peers have described him as “a very savvy, tactical and hard-working lawyer who is held in high esteem in the community” with “first rate cross-examination skills” and “a great bed-side manner.”

During his 10-year career as an assistant United States attorney for the Northern District of Illinois, Dan led a number of significant prosecutions and trials, including the international investigation of those responsible for the planning of the November 2008 terrorist attacks in Mumbai, India, a case featured in Frontline PBS’s “A Perfect Terrorist.” Dan held several supervisory positions, including deputy chief of the financial crimes and special prosecution section and acting chief of the general crimes section.

Internal Investigations

Dan has led numerous internal investigations on behalf of Fortune 100 corporations as well as smaller privately held organizations on a wide spectrum of issues, including securities and accounting fraud, health care fraud, the Foreign Corrupt Practices Act (FCPA), pay-to-play regulations, antitrust, money laundering, and trade secret theft. Dan has advised clients on self-disclosure issues and on navigating issues presented by DOJ’s Principles of Federal Prosecution of Business Organizations.

 


Elizabeth Abbene Coleman is Associate General Counsel, Litigation, Global Competition, Government Regulatory Investigations & Litigation (GRIL), and Intellectual Property at Uber Technologies, Inc. 

Elizabeth leads the team handling Uber’s complex commercial litigation, which includes some of the company’s most significant matters involving novel legal issues across all of Uber's product lines. The global competition team handles all aspects of antitrust and competition matters, including antitrust litigation, mergers & acquisitions, agency proceedings, compliance, and counseling. The GRIL team oversees government investigations and inquiries on behalf of Uber. Finally, Elizabeth also oversees the legal team responsible for the protection of Uber’s technologies and brands, including patent, trademark, and copyright procurement, licensing, and litigation.

Prior to joining Uber in 2019, Elizabeth was a partner at Jenner & Block LLP. She is a member of the Global Advisory Board for the Women in Law Empowerment Forum and the Woman’s Board of Northwestern Memorial Hospital.


Gary Kleinrichert is a Senior Managing Director at FTI Consulting and is based in Chicago. Mr. Kleinrichert co-leads Forensic Accounting Services in the US for FTI and is the Markets Leader in the US.  He has more than 34 years of financial and consulting experience and specializes in forensic accounting investigations, damages claims, and valuations. Mr. Kleinrichert has provided expert testimony on more than 50 occasions at deposition, arbitration and trial. Mr. Kleinrichert has testified throughout the United States, has appeared in Federal and State courts (bench and jury) and has served the court as a Special Master. The early part of his career was devoted to directing and performing over 200 financial audits of private and publicly held companies. Mr. Kleinrichert is a Certified Public Accountant (“CPA” - licensed in Illinois), Certified Valuation Analyst (“CVA”), Accredited in Business Valuation (“ABV”), and is Certified in Financial Forensics (“CFF”). He is a former member of the AICPA National Fraud Task Force and was recently included in the Who’s Who Legal: Investigations listing as one of the top forensic accountants and accounting expert witnesses in the world. Mr. Kleinrichert has significant experience in a variety of industries including insurance, financial services (banking, mortgage, brokerage and finance companies), health care, real estate, higher education, manufacturing/automotive, transportation/distribution, sports, retail and mining.

Mr. Kleinrichert has led numerous high-profile engagements involving disputes related to the appropriate application of generally accepted accounting principles and generally accepted auditing standards and has conducted numerous fraud and forensic investigations. Many engagements have included extensive interviewing and the creation/reconstruction of accounting and financial records for purposes of financial and forensic analyses.

In addition to assessments of compliance with accounting or auditing standards, Mr. Kleinrichert has performed numerous investigations of compliance with other corporate or regulatory rules and procedures.  His matters have been in every region of the world and he has conducted numerous forensic investigations where findings of such work have been presented to the US DOJ, SEC, various state law and regulatory agencies, foreign governmental bodies, and other stakeholders.  Many engagements have been on behalf of Special Committees of the Board of Directors.  Mr. Kleinrichert has also worked on behalf of the U.S. Dept. of Justice.

Mr. Kleinrichert has testified on the results of his investigative work and has led numerous sophisticated damages studies involving lost profits, lost sales, incremental profits, reasonable royalties, business valuations, solvency analyses, assessment of reasonably equivalent value, alter ego assessments, fixed and variable costs, product line profitability, unjust enrichment, costs incurred and prejudgment interest.

Mr. Kleinrichert is an accomplished speaker and author.


John Sikora is a partner in the Chicago office of Latham and Watkins LLP where he is a member of the Litigation and Trial Department. Mr. Sikora represents companies and their officers and directors in SEC and FINRA enforcement investigations and examinations.  Mr. Sikora’s clients include public companies, fund managers, investment advisers, and financial services firms.  Mr. Sikora also advises clients on securities-related compliance. 

Prior to joining Latham & Watkins was an Assistant Director in the Chicago Regional Office and in the Asset Management Unit of the SEC’s Enforcement Division, a national specialized unit that focuses on misconduct by investment advisers, investment companies and private funds. During his 16 year tenure at the SEC, Mr. Sikora was responsible for supervising all types of SEC enforcement activities, including investigations involving public company accounting fraud and other disclosure violations, misconduct by investment advisers, broker-dealers and auditors, and insider trading. Many of the investigations supervised by Mr. Sikora resulted in parallel prosecutions by the Department of Justice.

Mr. Sikora is recognized as a leading litigation lawyer by Chambers USA, and is “held in high regard for his handling of SEC enforcement proceedings and DOJ investigations, and acts for a range of entities from the financial services industry.” (Chambers USA 2020). Mr. Sikora is a frequent speaker and panelist on securities law issues. Mr. Sikora earned the Chartered Alternative Investment Analyst (CAIA) designation in April 2012.


Junaid A. Zubairi is the Chair of Vedder Price’s Government Investigations & White Collar Defense group and a member of the firm’s Board of Directors. Mr. Zubairi regularly practices before the SEC, the U.S. Attorney’s Office and other federal and state agencies. He represents companies and individuals in civil and criminal government investigations and securities litigation--conducting internal investigations, advising on investment services matters, and counseling clients during regulatory examinations, on FCPA matters, and on general compliance and remediation. Prior to Vedder Price, Mr. Zubairi was a senior attorney with the SEC, Division of Enforcement where he was the lead attorney on numerous high-profile investigations and litigations involving investment adviser and broker-dealer misconduct, financial fraud, officer and director liability, insider trading and pay-to-play practices. In 2020 Mr. Zubairi was ranked Band 2 in Chambers USA in the Litigation: White-Collar Crime & Government Investigations category, and he is ranked by Legal 500 United States for Securities Litigation–Defense. He has also been selected by his peers as a Leading Lawyer in the Criminal Defense Law: White Collar Federal Regulatory Law and Securities & Venture Finance Law categories.


Mark D. Pollack is a partner in the Litigation practice of Paul Hastings and is based in the firm’s Chicago office. He serves as chair of the Chicago office’s Litigation practice.  Mr. Pollack concentrates his practice in the areas of white-collar criminal defense, complex commercial litigation, internal corporate investigations, and compliance counseling. He has extensive experience in counseling and defending corporations, boards of directors, and executive officers in relation to a broad range of issues, including the defense of grand jury investigations, SEC and other regulatory probes, securities class action defense, and qui tam litigation. He regularly advises corporate officers and directors with respect to issues involving financial reporting and related disclosures, the adequacy of internal controls and compliance programs, and the assessment of litigation and regulatory risks associated with potential M&A transactions.

Before joining Paul Hastings, Mr. Pollack served for eight years as Arthur Andersen’s general counsel, responsible for managing the firm’s multi-faceted wind-down activities. In that capacity, Mr. Pollack served as the principal counsel and strategic advisor to Andersen’s board and executive management team and actively supervised Andersen’s largest litigation challenges, including the appeal giving rise to the Supreme Court’s reversal of the firm’s 2002 conviction for obstruction of justice as well as the successful resolution of numerous multibillion dollar securities class action lawsuits and professional liability claims.

Prior to Andersen, Mr. Pollack was co-chair of the white collar practice at another international law firm, where he developed extensive expertise representing numerous corporations, directors and officers in defense of government investigations and prosecutions.  Mr. Pollack regularly represented corporate boards, special litigation committees and board audit committees in connection with DOJ, SEC and other governmental probes and often led internal investigations for a broad array of corporate clients. Mr. Pollack regularly conducted internal investigations and developed corporate compliance plans, with a particular focus on clients in the pharmaceutical and healthcare industries.

Mr. Pollack began his litigation practice as an Assistant U.S. Attorney in Chicago, where over seven years he became a supervisor in that office and participated in more than 20 federal jury trials and 50 appeals to the 7th Circuit, including the fraud and corruption prosecution of the former governor of Illinois and a multi-year undercover investigation and prosecution of fraudulent trading practices at Chicago’s futures exchanges. Mr. Pollack received several awards from the Department of Justice in recognition of his superior performance as a federal prosecutor.

Mr. Pollack has written and lectured frequently on matters relating to corporate governance, white-collar criminal defense, and internal corporate investigations.

Mr. Pollack graduated with highest distinction from the University of Michigan in 1981 and obtained his J.D. degree, magna cum laude, from the University of Michigan Law School in 1984. From 1984-85, Mr. Pollack served as law clerk to the Honorable Stephen Reinhardt, United States Court of Appeals for the Ninth Circuit. He is a member of the bar of the State of Illinois, of the United States Supreme Court and of several federal district and appellate courts.


Megan Cunniff Church is a highly accomplished trial lawyer who represents companies and individuals in high-stakes criminal and regulatory matters and complex civil litigation. She conducts corporate internal investigations in the U.S. and abroad, and she advises clients on crisis and risk management.

As a former federal prosecutor, Ms. Church has extensive experience investigating, litigating, and successfully resolving white collar criminal and regulatory matters. She served as a Deputy Chief of the Financial Crimes section of the U.S. Attorney’s Office for the Northern District of Illinois, where she prosecuted and supervised complex health care fraud, tax fraud, and corporate and financial crimes cases. She also served as a Deputy Chief of the General Crimes section of the U.S. Attorney’s Office, where she trained and supervised new prosecutors on federal criminal practice.

In nearly a decade as an Assistant United States Attorney, Ms. Church investigated and prosecuted a wide range of federal crimes, including bank fraud, mail and wire fraud, public corruption, money laundering, narcotics and weapons violations, international drug trafficking, identity theft, cybercrime, embezzlement, human trafficking, and organized crime. As an Assistant U.S. Attorney assigned to the Public Corruption section, Ms. Church prosecuted and convicted numerous public officials and law enforcement officers for fraud, bribery, extortion, and tax offenses. She also led criminal investigations involving parallel civil proceedings conducted by federal and state civil regulators. 

As a partner at MoloLamken LLP, Ms. Church has conducted internal investigations of publicly-traded companies and represented corporate and government officials in investigations and prosecutions by various U.S. Attorney’s Offices, the Department of Justice, inspectors general, Congress, the SEC, and other government regulators.  In addition to representing targets and subjects in criminal and regulatory investigations, Ms. Church has represented key witnesses during investigations and subsequent trials.   

Ms. Church has tried 18 cases to verdict, and she has briefed and argued nearly a dozen matters in the United States Court of Appeals for the Seventh Circuit. 

Previously, Ms. Church was as an associate with Baker & McKenzie and with McDermott Will & Emery. She also served as a law clerk to the Honorable William J. Bauer of the United States Court of Appeals for the Seventh Circuit and to the Honorable Joan H. Lefkow of the United States District Court for the Northern District of Illinois.

 


Mr. Robinson is a Senior Managing Director and General Counsel of Guggenheim Investments, where he oversees the legal, compliance and governance functions for the Firm’s investment advisory business. Prior to joining Guggenheim, Kevin held positions at Claymore Group, where he served as General Counsel; NYSE Group, Inc. (f/k/a Archipelago Holdings, Inc.), where he was Associate General Counsel and Assistant Corporate Secretary; and ABN Amro, Inc. where he was Senior Vice President and Associate General Counsel. Kevin’s financial services industry experience began in 1989 as Senior Counsel in the Enforcement Division of the U.S. Securities and Exchange Commission. Mr. Robinson is a graduate of Coe College and The University of Iowa College of Law.


Steve Scholes serves as the operations partner for McDermott’s Litigation Practice Group, and is responsible for managing the day-to-day business operations of the group.  His trial practice covers all varieties of securities and other complex commercial litigation.  Steve has tried civil, criminal and administrative cases in federal and state courts, and he regularly represents clients before the US Securities and Exchange Commission (SEC), state securities regulators and self-regulatory organizations, such as the Financial Industry Regulatory Authority, the Public Company Accounting Oversight Board and stock, options and futures exchanges.  Steve has substantial experience in securities class and derivative actions, conducting internal investigations in numerous industries.  A former attorney in the SEC’s Division of Enforcement, Steve has been appointed by three different federal judges in Chicago to serve as receiver in SEC civil enforcement proceedings.


Steven M. Malina is a shareholder in the Chicago office of Greenberg Traurig, LLP.

A former enforcement attorney with the SEC, Steve focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, as well as hedge fund matters and general commercial litigation. He has represented officers, directors, broker-dealers, investment advisors, commercial banks, investment banks, investment management firms, and public issuers in investigations and disciplinary proceedings initiated by the SEC, CFTC, FINRA, FDIC, NYSE, CBOE, CME, and state regulators. In addition, Steve represents clients in related investor class-action, derivative, and other litigation and arbitration. He has also conducted internal investigations on behalf of publicly traded companies and represented committees and executive officers in internal investigations. Steve has represented brokerage firms and their management in customer-initiated cases, and injunction and arbitration proceedings.

Prior to entering private practice, Steve served as First Vice President and Deputy Regional Counsel for a large financial corporation, and was a Senior Attorney in the Branch of Enforcement of the U.S. Securities and Exchange Commission.

Steve earned his J.D. from the University of Illinois College of Law, his M.B.A. from the University of Chicago, and his A.B. from the University of Michigan.


A former Assistant U. S. Attorney, Department of Justice Fraud Section Trial Attorney and Securities and Exchange Commission Senior Counsel, Jon Barr is a seasoned advocate who vigorously defends and advises public companies, corporate executives, and individuals in white collar criminal, FCPA and SEC enforcement matters.

With more than twenty years of experience in government investigations, Jon is regularly retained to represent and defend General Counsels, Compliance Officers and other high-level executives in criminal and SEC investigations.  Jon’s practice also focuses on conducting internal investigations, assisting companies with self-disclosure decisions and advising on remedial measures and compliance programs.

The Securities Docket named Jon to its "Enforcement 40 for 2017," which is Securities Docket's list of the 40 best and brightest securities enforcement defense lawyers in the United States. He is ranked in Chambers USA for Litigation: White Collar Crime & Government Investigations in the District of Columbia.  Jon is also recognized in Best Lawyers of America and by his designation as a “Super Lawyer” in Washington, D.C.


A former SEC Enforcement Attorney, Paul Helms manages risk associated with complex securities issues. He defends clients facing SEC and government inquiries, conducts internal investigations, and handles securities litigation. In particular, Paul developed substantial experience in matters involving investment advisers, mutual funds, and private funds, in part through his training as a Chartered Alternative Investment Analyst (CAIA). 

Paul spent seven years in the SEC Enforcement Division, working in the specialized Market Abuse and Asset Management Units. At the Commission, Paul investigated and brought actions involving accounting and disclosures, auditor and attorney negligence, regulatory compliance, offering fraud, market manipulation, and insider trading. He also gained perspective on national and regional enforcement policy, serving as Counsel to the Director of Enforcement in Washington, DC and assisting the Chicago Regional Director with management issues.

Before and after government service, Paul handled government and internal investigations, securities class actions, and derivate actions. Through his work, he counseled nationally recognized public issuers, investment advisers, broker-dealers, audit firms, and nonprofit organizations, as well as the officers and directors who manage those firms. He began his career clerking for the Honorable James H. Michael, Jr. in the Western District of Virginia.

While in law school, Paul served as Editor-in-Chief of the Vanderbilt Law Review and participated in the Law and Business Program. He is a Certified Fraud Examiner (CFE).


Brad is the Chief Administrative Officer and General Counsel of Incapital, which is an investment banking, institutional sales and trading, and new issue debt distribution firm based in Chicago with offices in Boca Raton.  Brad is a member of Incapital’s Executive and Management Committees and serves as Corporate Secretary to the Incapital Board.

Prior to joining Incapital, Brad was the General Counsel and Corporate Secretary of Mesirow Financial, held senior level roles at Van Kampen/Morgan Stanley and EVEREN Securities, was in private practice at a law firm and served as an Enforcement Division Branch Chief with the US Securities and Exchange Commission.

Brad obtained his BA from Cornell University, JD from the University of Miami and MBA in finance and accounting from the University of Chicago Booth Graduate School of Business.  He recently completed his tenure as a Director of the National Society of Compliance Professionals and is a frequent speaker on regulatory and compliance issues.  Brad wrote a chapter for a securities compliance treatise Modern Compliance, published by Wolters Kluwer, entitled “Corporate Transactions:  The Role of Compliance.”


Christina is the managing partner of the McGuireWoods Chicago office and serves on the firm’s Board of Partners.  She practices in the area of government investigations and white-collar litigation.  She is currently an adjunct professor at Northwestern School of Law, teaching a seminar on federal RICO law since 2012 and previously taught trial advocacy there from 2008 to 2011. She is also a former lecturer at the Federal Bureau of Investigation Undercover School and the National Advocacy Center for the Department of Justice.

Christina graduated cum laude, Order of the Coif, Executive Editor, Journal of International Law and Business, from Northwestern University School of Law in 1995. After graduation she served as a judicial law clerk to the Honorable John F. Grady and a judicial extern for the Honorable Marvin E. Aspen of the U.S. District Court in Chicago.  In 2012, she was also appointed to the U.S. Attorney Candidate Screening Committee through a bi-partisan process headed by U.S. Senators Dick Durbin and Mark Kirk.  Prior to joining the firm, Christina served 10 years as an assistant U.S. attorney (AUSA) in the Northern District of Illinois - four of which she was a deputy chief. She received multiple awards from federal and local law enforcement, and the U.S. Department of Justice for her service as an AUSA.

She is also a member of the Board of Directors of Northwestern University School of Law Clinic Advisory Board.


Anne McKinley is an Assistant Director in the Division of Enforcement at the Chicago Regional Office of the U.S. Securities and Exchange Commission.  She previously served as an Assistant Director in the Division of Enforcement’s national Complex Financial Instruments specialty unit and on the steering committee for the Division of Enforcement’s Broker-Dealer Task Force.  Her current responsibilities include supervising and directing the investigation and litigation of securities law violations, including cases involving accounting fraud, insider trading, investment advisers, broker-dealers, supervisory failures, microcap fraud, market manipulation, offering fraud and other misconduct.

Ms. McKinley joined the SEC in 1999 immediately after graduating from law school and previously held the positions of Branch Chief and Senior Attorney.  Ms. McKinley received her J.D., cum laude from the University of Illinois College of Law in 1999 and her undergraduate degree, with departmental honors, in French and International Studies from Northwestern University in 1996.


Jason Yonan is Chief of the Securities and Commodities Fraud Section at the United States Attorney’s Office for the Northern District of Illinois. In that position, Mr. Yonan supervises six Assistant United States Attorneys who focus on securities, commodities, and other investment frauds. Before becoming Section Chief, Mr. Yonan served as a Deputy Chief in the United States Attorney’s Financial Crimes and Special Prosecutions Section. Prior to becoming an Assistant United States Attorney, Mr. Yonan worked at the U.S. Securities and Exchange Commission in Chicago as a staff attorney and senior attorney in the Division of Enforcement. Before his time at the SEC, Mr. Yonan clerked for U.S. District Court Judge Joan H. Lefkow. Mr. Yonan received his J.D. from the University of Illinois College of Law. 


Ms. Pyszka is an Associate Director in the Chicago Regional Office in the Division of Enforcement of the United States Securities and Exchange Commission. While at the SEC, Ms. Pyszka has also held the positions of Assistant Director, Senior Trial Counsel, Branch Chief and Staff Attorney.  Before joining the SEC, Ms. Pyszka served as a law clerk to United States District Court Judge Joe Billy McDade and was in private practice.  She received her J.D. from the University of Illinois College of Law.