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Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post Dodd-Frank World


Speaker(s): Colleen P. Mahoney, David B. Anders, David E. Brodsky, Elaine H. Mandelbaum, George S. Canellos, Janet A. Broeckel, Joan E. McKown, Katherine M. Choo, Lorin L. Reisner, Martine M. Beamon, Mei Lin Kwan-Gett, Michael Delikat, Mona M. Patel, Nancy Kestenbaum, Reuben A. Guttman, Richard J. Morvillo, Samuel J. Winer, Steven R. Peikin, Sung-Hee Suh, Therese D. Pritchard, Thomas A. Hanusik
Recorded on: Jun. 26, 2012
PLI Program #: 35162

David E. Brodsky is a partner at Cleary Gottlieb based in the firm's New York office.

Mr. Brodsky specializes in securities enforcement, white-collar criminal defense, and internal investigations. He has represented corporations and individuals in investigations involving alleged insider trading, accounting and securities fraud, foreign corrupt payments, bid rigging, and obstruction of justice.

He has appeared before the Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers, the Financial Industry Regulatory Authority, the New York Attorney General's Office, and the New York District Attorney's Office.

Mr. Brodsky is distinguished as one of the leading lawyers for white-collar criminal defense and investigations by Chambers USA, Benchmark Litigation: The Definitive Guide to America's Leading Litigation Firms and Attorneys, The Legal Media Group Guide to the World's Leading White Collar Crime Lawyers, The International Who's Who of Business Lawyers, The Best Lawyers in America and The Legal 500. He has spoken before the Practicing Law Institute, the Securities Industry and Financial Markets Association, the Institute of International Bankers, the Federal Bar Council, and the Association of the Bar of the City of New York. He has served on the Committee on Professional and Judicial Ethics of the Association of the Bar for the City of New York, is an officer of the Federal Bar Council, and is a member and former Director of the New York Council of Defense Lawyers.

Previously, Mr. Brodsky served in the United States Attorney's Office for the Southern District of New York, where he handled more than a dozen jury trials and argued numerous appeals before the Second Circuit. As Chief Appellate Attorney, he briefed and argued United States v. Chestman, a precedent-setting insider-trading case decided by the Second Circuit sitting in banc. In addition, as a member of the Securities and Commodities Fraud Unit, he handled United States v. Bilzerian, a high-profile securities and tax fraud prosecution.

Mr. Brodsky joined the firm in 1991 and became a partner in 1994. He received a J.D. degree in 1983 from the Yale Law School, where he served as a Senior Editor of the Yale Law Journal. Mr. Brodsky received an undergraduate degree in 1980 from Rutgers University, where he graduated summa cum laude. Following law school, Mr. Brodsky served as a law clerk to the Honorable W. Arthur Garrity, Jr., United States District Judge in Boston, Massachusetts.

Mr. Brodsky is a member of the Bar in New York and is admitted to practice before the U.S. Supreme Court, the U.S. Court of Appeals for the Second Circuit, and the U.S. District Courts for the Southern and Eastern Districts of New York.


Mona Patel is a partner in the Litigation and White Collar Defense & Investigations practice groups and is resident in the firm’s Washington Office.  She represents companies, boards of directors, and senior executives in internal investigations, white collar criminal defense matters, and complex commercial litigation.

Ms. Patel has substantial experience representing and counseling pharmaceutical and other healthcare companies in large scale internal and government investigations and related civil litigation and compliance matters.  Ms. Patel also conducts internal FCPA investigations for companies and provides guidance to clients on FCPA compliance issues and program elements.  She has litigated business tort and complex contract cases across a broad range of industries, and has represented clients before state and federal courts on a variety of matters, including False Claims Act cases.

Representative Matters

  • Conducted risk assessment and developed comprehensive anti-corruption compliance program for a large international manufacturing company.
  • Led an internal FCPA investigation for a global automotive and engineering services company.
  • Served as Board-appointed monitor for a national health care company under criminal and civil investigation; representation included systems reviews and assessment of compliance program, policies and practices, internal investigations of alleged misconduct by executives, and recommendations as to corrective actions.
  • Defended major pharmaceutical manufacturer in federal investigation and related state and multi-district litigation challenging AWP (average wholesale price) practices.
  • Defended major pharmaceutical manufacturers in federal investigations of nominal pricing and Best Price practices.
  • Defended major pharmaceutical manufacturer in qui tam and employment litigation with potential collateral consequences in government investigations.
     


Reuben Guttman is a Partner at Grant & Eisenhofer. His practice involves complex litigation and class actions.

Mr. Guttman has been counsel in some of the largest recoveries under the Federal False Claims Act, including U.S. ex rel. Johnson v. Shell Oil Co., 33 F. Supp. 2d 528 (E.D. Tex. 1999), where over $300 million was recovered from the oil industry. He also represented one of the six main whistleblowers in litigation resulting in the government's September 2009, $2.3 billion settlement with Pfizer Pharmaceutical. Cases brought by Mr. Guttman under the False Claims Act on behalf of a European whistleblower resulted in a $13 million settlement with a Department of Defense contractor. He is currently lead counsel in three pending False Claims Act cases where the United States Department of Justice has intervened on the side of his whistleblower clients

Mr. Guttman is the author and/or editor of numerous articles, book chapters, and technical publications and his commentary has appeared in Market Watch, American Lawyer Media, AOL Government, and Accounting Today. His article, Pharmaceutical Regulation in the United States; A Confluence of Influences, was published in Chinese by the Peking University Public Interest Law Journal, Vol. 1, Page 187 (2010). He is co-author of Gonzalez v. Hewitt, SEC v. HG Pharmaceutical, and U.S. ex rel. Rodriguez v. Hughes, which are case files published by the Emory University School of Law Center for Advocacy and Dispute Resolution (2010) and used to train law students and practicing attorneys. He has appeared on ABC Nightly News, CNN, Bloomberg News, and has been quoted in major publications including The Wall Street Journal, The New York Times, The Washington Post, The Los Angeles Times, The Atlanta Journal-Constitution, USA Today, Houston Chronicle, Dallas Morning News and national wire services including the Associated Press, Reuters and Bloomberg.

In addition to his writings, Mr. Guttman has testified before committees of the United States House of Representatives and the United States Senate on the Asbestos Hazard Emergency Response Act (AHERA). In 1992, he advised President-elect Clinton's transition team on labor policy and worker health and safety regulation.

Mr. Guttman earned his law degree at Emory University School of Law graduating in 1985, and his Bachelor's Degree from the University of Rochester in 1981. He is a Senior Fellow and Adjunct Professor at the Emory University School of Law Center for Advocacy and Dispute Resolution and has been a Team Leader for Emory University School of Law School's Kessler-Eidson Trial Techniques Program.  As part of a U.S. State Department program in conjunction with the Center for Advocacy and Dispute Resolution, he has been one of five visiting professors at Universidad Panamericana in Mexico City training Mexican Judges and practitioners on oral advocacy and trial practice. He is a contributing editor of a soon to be published text book on trial practice for Mexican practitioners.

Mr. Guttman is a faculty member of the National Institute of Trial Advocacy. He has been a guest lecturer at a number of universities including Jao Tong University in Shanghai, Peking University in Beijing and Renmin University in Beijing.  In 2006 he was invited by the Dutch Embassy in China to share his expertise with experts in China about changes to the nation's labor laws. He is a Co-Founder of Voices for Corporate Responsibility, www.voicesforcorporateresponsibility.com, and founder of www.whistleblowerlaws.com and www.thecorporateinsider.com.


Therese Pritchard is a member of the Securities Enforcement, Compliance and Litigation Client Service Group. She has concentrated on securities and financial institutions enforcement and litigation for more than 25 years. Ms. Pritchard has represented major public companies, banks, broker-dealers, investment advisors, mutual funds, hedge funds and individuals under investigation by the SEC, the NYSE, the NASD and the federal banking agencies. She has also conducted independent investigations on behalf of, and served as counsel to, boards of directors and audit committees of public companies. Ms. Pritchard has handled SEC and audit committee investigations involving revenue recognition, stock option pricing and backdating, off balance sheet financing, related party transactions, acquisitions and restructuring issues and the timing and adequacy of reserves. She has conducted several independent investigations into possible FCPA violations in the Far East. She has handled broker-dealer and fund matters involving, among others, manipulative trading, valuation, allocation, suitability and supervision issues. Ms. Pritchard's areas of practice also include insider trading, disclosure questions, delisting proceedings and broker-dealer regulation.

Ms. Pritchard was with the Division of Enforcement of the Securities and Exchange Commission from 1982 to 1991. She served as an assistant director from 1986 on and handled many of its most notable Wall Street cases. In 1985, she received the Manuel Cohen Outstanding Younger Lawyer Award in recognition of her achievements at the SEC. From 1991 to 1994, she was deputy chief counsel of the Office of Thrift Supervision, in charge of its Washington, D.C. enforcement program, directing and managing many high-profile fraud cases brought by the government resulting from the savings and loan crisis. Ms. Pritchard then co-managed the Professional Liability Section of the Resolution Trust Corporation from 1994 to 1995, where she directed and resolved more than 300 cases against officers, directors and other professionals associated with failed savings and loan institutions.

Ms. Pritchard is a frequent speaker on securities law and enforcement matters at continuing legal education programs. She was named one of the Best Lawyers in America® (2008-2011) by various publications, including the Washington Post, Washingtonian and Woodward/White, Inc.'s 13th edition of The Best Lawyers in America. She served on the firm's Executive Committee from 2005 to 2011. She also served for several years as the chair of the Securities Enforcement Subcommittee of the Business Law Section of the American Bar Association.


Bar and Court Admissions
 Massachusetts, 1978
 Practice limited to matters and proceedings before federal courts and agencies


Education
 Boston College, J.D., cum laude, 1978
 Bryn Mawr College, A.B., cum laude, 1975


Colleen P. Mahoney, a partner in Skadden's Washington, D.C. office, heads the firm's Securities Enforcement and Compliance practice, and regularly represents financial services firms, corporations, their boards, board committees, officers, directors and employees in Securities and Exchange Commission (SEC) and other law enforcement investigations.

Ms. Mahoney assists management and boards of directors performing internal inves­tigations, often advising clients on preventive and remedial measures before and after securities-related issues arise.

Ms. Mahoney has been the lead attorney representing many of the company boards and individuals embroiled in signature SEC investigations. Her clients have included many well-known U.S. and foreign companies. As is frequently the case with SEC enforcement matters, the biggest victories are the ones that never become public – the government investigations and inquiries that are put to rest before charges are filed or an indictment is issued, or even before a public disclosure of the government interest. Ms. Mahoney has succeeded in bringing a number of matters to a close in those circumstances.

Prior to joining Skadden, Ms. Mahoney spent 15 years in increasingly senior positions with the SEC, serving as acting general counsel of the agency and as deputy director of the division of enforcement. During her tenure at the SEC, Ms. Mahoney helped manage a civil law enforcement program that addressed a wide range of issues, including financial fraud and disclosure, asset management issues, derivatives and insider trading.

Ms. Mahoney frequently lectures on securities regulatory and enforcement issues at seminars and conferences in the United States and abroad.

Ms. Mahoney has been selected for inclusion in Chambers USA: America's Leading Lawyers for Business, The International Who's Who of Corporate Governance Lawyers, Lawdragon 500 Leading Lawyers in America and The Best Lawyers in America. Since 2012, she has been recognized as one of Benchmark Litigation's "Top 250 Women in Litigation" and she also was named to the shortlist of the nation's top women regula­tory lawyers by Chambers USA (2012). Additionally, Ms. Mahoney was included in Washingtonian Magazine's 2013 "Best Lawyers" list.

 


David B. Anders
Partner
Wachtell, Lipton, Rosen & Katz

David B. Anders joined Wachtell, Lipton, Rosen & Katz in 2006 and became partner in 2008. 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 York (1998-2005). During his time at the United States Attorney’s 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. He served as Law Clerk to the Honorable Denny Chin, United States District Judge, Southern District of New York (1995-96). Mr. Anders is a graduate of Dartmouth College and Fordham University School of Law.


Janet A. Broeckel is a Managing Director and Associate General Counsel in Litigation and Regulatory Proceedings group at Goldman, Sachs & Co., where she focuses primarily on government investigations and inquiries, civil litigation, and internal investigations. Prior to joining Goldman in 2005, Ms. Broeckel was a litigation partner at the law firm Pillsbury Winthrop, LLP firm in New York, where she specialized in representing corporations and individuals in regulatory investigations and enforcement proceedings, white collar criminal securities matters, and securities class actions.

Prior to joining private practice, she served in the SEC’s Division of Enforcement in New York. Ms. Broeckel is a graduate of the University of Washington and the Washington College of Law, American University.


Joan E. McKown has over 30 years of experience in Securities and Exchange Commission (SEC) enforcement and financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States.  She has in-depth knowledge of investigatory issues relating to financial fraud, corporate disclosure, corporate governance, accounting, compliance, private equity, FCPA, broker dealer, investment adviser, investment companies, and insider trading.  Joan represents corporations, financial services firms, and their officers, directors, and employees, counseling them to avoid regulatory scrutiny, and when necessary, resolving matters on the best terms possible.

Prior to joining Jones Day in 2010, Joan was the longest serving chief counsel in the Division of Enforcement at the SEC, where she played a key role in establishing enforcement policies and worked closely with the Commission and senior SEC staff.  Joan literally wrote the book on SEC enforcement when she oversaw the creation of the first version of the SEC Enforcement Manual.  As chief counsel, she led hundreds of Wells meetings and settlement negotiations.  At Jones Day, Joan has extensive experience submitting persuasive Wells submissions, having reviewed thousands of such submissions while on the SEC staff.

Joan is on the board of trustees of the SEC Historical Society. She also serves on the Executive Committee of the Board of Trustees of the Legal Aid Society of the District of Columbia. She frequently speaks and writes on SEC enforcement related topics.


Katy Choo is Chief Investigative & Anti-Corruption Counsel at GE, specializing in government and internal investigations in complex criminal and regulatory matters, compliance initiatives of the Company, and preventive law.  Ms. Choo also is a member of GE’s Policy Compliance Review Board (PCRB), which oversees the Company’s strategic imperatives with respect to compliance. 

Katy serves as primary compliance counsel to GE’s mergers and acquisitions transactions team and to the Company’s global security organization.  She also has primary responsibility for counseling GE’s businesses with respect to anti-corruption efforts globally relating to the Foreign Corrupt Practices Act and other anti-bribery laws.

Ms. Choo joined GE in 2003 after serving as a Supervisory Assistant U.S. Attorney in the Southern District of New York, where she was Chief of the General Crimes Unit and a Deputy Chief in the Criminal Division.  As a federal prosecutor, she specialized in prosecutions of white-collar offenses and twice was a recipient of the U.S. Department of Justice Director’s Award for Superior Performance and a recipient of the Federal Law Enforcement Officer Association’s Group Achievement Award.  During her tenure in government, Ms. Choo tried numerous federal criminal trials to verdict and argued numerous appeals in the Second Circuit.  Prior to her work as a federal prosecutor, she worked as an associate specializing in complex civil litigation at the law firm of Davis Polk & Wardwell.

Ms. Choo is a graduate of Wellesley College (Durant Scholar, Phi Beta Kappa) and Columbia School of Law (Harlan Fiske Stone Scholar).


Lorin L. Reisner is a litigation partner at Paul, Weiss, Rifkind, Wharton & Garrison LLP in New York where his practice emphasizes white collar criminal matters, government investigations and complex business litigation. He has almost three decades of experience in senior government and private sector positions.

From January 2012 through June 2014, Mr. Reisner served as Chief of the Criminal Division of the U.S. Attorney's Office for the Southern District of New York, where he supervised the investigation and prosecution of federal crimes by a team of more than 160 Assistant U.S. Attorneys. The areas under his supervision included securities and commodities fraud, complex fraud and cybercrime, public corruption, terrorism and violent crime.

From 2009 until his appointment as Chief of the Criminal Division, Mr. Reisner served as the Deputy Director of the Enforcement Division of the U.S. Securities and Exchange Commission in Washington, DC. In that position, he helped set enforcement priorities, supervised the work of more than 900 investigative professionals nationwide and oversaw the trial and related litigation activity of the Enforcement Division. While at the SEC, Mr. Reisner helped oversee and implement the most significant reorganization of the Enforcement Division in more than thirty years and helped lead the Commission’s most significant enforcement matters. From 1996 through 2009, Mr. Reisner was a litigation partner at an international law firm based in New York.

Mr. Reisner served as an Assistant U.S. Attorney in the Southern District of New York from 1990-1994. He served as a law clerk to the Honorable Milton Pollack of the Southern District of New York from 1986-1987, received his undergraduate degree from Brandeis University in 1983 and his J.D. from Harvard Law School in 1986.


Mike Delikat, a partner in the New York office, serves as Chair of Orrick’s Global Employment Law Practice. He also is the founder of the firm’s Whistleblower Task Force.

Chambers Global 2017 guide lists Mike as one of only nine Band 1 ranked Labor and Employment attorneys in the United States.

Under Mike's leadership, Orrick’s Employment Law & Litigation group was named Labor & Employment Department of the Year in California by The Recorder for the last three years, the premier source for legal news, in recognition of their significant wins on behalf of leading multinational companies.             

He represents a broad range of major corporations 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 is a leading lawyer representing companies in whistleblower matters and frequently is called on to conduct high level and sensitive internal investigations by boards of directors. He is the co-author of PLI's Corporate Whistleblowing in the Dodd-Frank/Sarbanes Oxley Era, the leading treatise on that subject.


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.

 


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.


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 foreign corrupt practices, sexual misconduct, securities fraud, criminal tax violations, 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.


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.


George S. Canellos is a partner in the law firm of Milbank Tweed Hadley & McCloy LLP and heads its litigation department.  In 2014, Mr. Canellos rejoined Milbank, where he had been a litigation partner from 2003 to 2009.  Until January 2014, Mr. Canellos served as Co-Director of the Securities and Exchange Commission’s Division of Enforcement.  He earlier served as the Division’s Acting Director and Deputy Director.  In these positions, Mr. Canellos was responsible for supervising the SEC’s nationwide enforcement efforts.  From July 2009 until May 2012, Mr. Canellos was Director of the SEC's New York Regional Office, which has responsibility for oversight of many of the leading broker-dealers, investment advisers, and other SEC-registered financial institutions. Mr. Canellos began his career as an associate at Wachtell, Lipton, Rosen & Katz. In 1994, he became an Assistant United States Attorney in the Southern District of New York.  During almost nine years at the U.S. Attorney's Office, Mr. Canellos held a number of positions, including Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Unit, and Deputy Chief Appellate Attorney. Mr. Canellos is a graduate of Harvard College and Columbia University School of Law.


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.  Additionally, she is a member of the Practising Law Institute’s Board of Trustees and a Fellow of the American Bar Foundation.

Mei Lin earned her AB from Harvard College and her JD from Yale Law School.


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


Samuel J. Winer, partner and litigation lawyer with Foley & Lardner LLP, represents audit firms, their partners, public companies, their officers and directors, and law firms and their partners in SEC investigations.  He has represented a number of these clients in related SEC or private litigation.  In addition, he represents auditors in investigations conducted by the PCAOB.  Mr. Winer has assisted various special committees and audit committees of boards of public companies in investigations of financial reporting and related conduct.  He also counsels securities broker-dealers and other clients on compliance with the federal and state securities laws and rules of the various self-regulatory organizations (SROs) and represents those clients in SEC enforcement proceedings and SRO disciplinary and other proceedings, litigation and grand jury investigations.  Mr. Winer is a member of the firm’s Securities Litigation, Enforcement & Regulation and Transactional & Securities Practices. He previously served on the firm’s Management Committee.


Sung-Hee Suh is the Deputy Assistant Attorney General overseeing the Fraud, Appellate and Capital Case Sections in the Criminal Division of the U.S. Department of Justice.  Her responsibilities include supervising cases involving the Foreign Corrupt Practices Act (“FCPA”), securities and commodities fraud, health care fraud and government program fraud, as well as formulating federal enforcement policies on white-collar crime and coordinating interagency, multi-district and international law enforcement efforts.  Ms. Suh re-joined the Justice Department in September 2014 following 15 years at the New York law firm of Schulte Roth & Zabel LLP, where she was a partner in the Litigation Group and handled numerous securities and commodities fraud, FCPA, Bank Secrecy Act, anti-money laundering and economic sanctions matters.  She previously served as an Assistant U.S. Attorney in the Eastern District of New York, including as Deputy Chief of the Organized Crime and Racketeering Section.  She graduated from Harvard College, Harvard Graduate School of Arts and Sciences, and Harvard Law School.