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White Collar Crime 2013: Prosecutors and Regulators Speak


Speaker(s): Andrew J. Levander, Andrew M. Calamari, Anjan Sahni, Benjamin Brafman, Christina B. Dugger, David B. Anders, David M. Rody, Hon. Richard J. Sullivan, James J. Benjamin, Jr., Janet A. Broeckel, Jodi Misher Peikin, John K. Carroll, Joshua G. Berman, Lorin L. Reisner, Marc P. Berger, Marshall L. Miller, Michael Neus, Polly Greenberg, Reed M. Brodsky, Richard B. Zabel, Robert H. Hotz, Jr., Steven R. Peikin, Susan E. Brune, Valerie A. Szczepanik
Recorded on: Oct. 1, 2013
PLI Program #: 43144

Polly Greenberg is the Chief of the Major Economic Crimes Bureau at the New York County District Attorney's Office. She is responsible for managing prosecutors, investigators, analysts and paralegals who conduct investigations into securities and commodities fraud, large-scale mortgage and insurance fraud, Ponzi schemes, international money laundering, terrorist financing, sanctions evasion, asset forfeiture, tax crimes, human trafficking, and wiretap investigations. Polly joined the Office in 1993, starting in the Appeals Bureau and later serving in the Investigations Division. She conducted one of the Office's early enterprise corruption trials. After leaving the Office in late 2000 for private practice, Polly returned to the Office in 2005 and was assigned to the Rackets Bureau, where she conducted wiretap investigations into organized crime and prosecuted public corruption cases. She was part of teams that obtained enterprise corruption indictments against members and associates of the Genovese organized crime family for operating an illegal gambling ring out of the Hunts Point Market, and against 29 members and associates of the Lucchese organized crime family for charges including corruption at the New York City Department of Buildings. She graduated from Wesleyan University with High Honors in American Studies and attended New York University School of Law.


Andrew J. Levander is Chair of the firm's Policy Committee and a partner in the white collar and securities litigation group. A former Assistant U.S. Attorney for the Southern District of New York in the Securities and Commodities Fraud Unit, Mr. Levander is consistently recognized for excellence in the practice of law. Since 2004, he has been cited as a leading lawyer by Chambers USA, a referral guide to leading lawyers in the U.S. based on the opinions of their peers and clients. Mr. Levander represents parties in securities fraud and commercial litigation and criminal and regulatory investigations. In the maelstrom of investigations and litigation arising out of the world financial crisis, he has been retained to represent such high­ profile clients as Robert Diamond, former CEO of Barclays, Lehman Brothers' outside directors and John Thain, former CEO of Merrill Lynch. Mr. Levander has been integrally involved in the management of headline crises for such diverse clients as Takata Corporation (airbag recalls), Jon S. Corzine (MF Global collapse), Hewlett-Packard's special counsel committee (Hurd termination litigation), SAIC's board (CityTime contract scandal), and Monster Worldwide (options backdating investigation and litigation). In addition, he has taken a leading role in Dechert' s representation of a number of intermediary funds and investment managers in the Bernard Madoff scandal, including his representation of Ezra Merkin. Mr. Levander has  regularly defended many public companies or their officers, directors and affiliates, including Biovail Corp., CHC Group Ltd., NCR Corporation, NFP Corp., Datascope Corporation, General Motors, GlaxoSmithKline,  Hewlett-Packard, Hertz, Microsoft, Monster Worldwide, Motorola, OSI Pharmaceuticals, SAIC, Universal American Corp., and Walmart. He has also advised many of the leading financial institutions or their affiliates such as AIG, Bank of NY, Citigroup, Credit Suisse, GLG Man Group, Goldman Sachs, JP Morgan, Merrill Lynch, Morgan Stanley, the NYSE, RCS Capital Management LLC, and UBS. Mr. Levander has tried more than 50 cases, including several complex arbitrations. Drawing on his experience as a law clerk to the Honorable Wilfred Feinberg in the U.S. Court of Appeals for the Second Circuit, and as an Assistant to the Solicitor General, he also has an extensive appellate practice in both federal and state courts. He has litigated in courts across the country and has arbitrated before the American Arbitration Association, the New York Stock Exchange, the National Association of Securities Dealers, UNCITRAL and private arbitrators. Mr. Levander also has extensive international litigation experience and has handled numerous investigations arising under the FCPA and similar statutes. In 2012, he led the defense of Deutsche Bank in a billion dollar False Claims  Act case brought by the U.S. Attorney's Office of the Southern District of New York and, in 2006, he negotiated a global settlement for BAWAG, Austria's fourth largest bank, with Refco's debtors, creditors, shareholders, bondholders and investors, as well as with the SEC and the DOJ. Mr. Levander has also been involved in successful mediations and arbitrations. Two notable arbitrations include a multi-million dollar settlement in a private arbitration between two well­ known investment banks involving a complex $100 million dispute arising out of the sale of a business, and a complete vindication of SkyLink Aviation, Inc., a Canadian company that provides helicopter and other aviation services around the world, in an international arbitration against the United Nations. Mr. Levander has written extensively on legal issues and co-authored Prevention and Prosecution of High Technology Crime, published by Matthew Bender, and Settlement Agreements  in Commercial Disputes, published by Aspen Law & Business. For many years, he served as an adjunct professor of trial practice at New York University, and he has lectured at Columbia University Law School, Georgetown University Law Center, Yale Law School, The Federal Reserve Bank of New York, the ABA White Collar Crime Institute, SIFMA, the Practising Law Institute, and various bar associations and government agencies.


Jodi Misher Peikin is a principal of Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C. Her practice focuses on white-collar criminal defense and regulatory enforcement.  She has significant experience in defending individuals and corporations under investigation, or charged with misconduct, by the Department of Justice, state and local prosecutors, the Securities Exchange Commission, and the Financial Industry Regulatory Authority. Ms. Peikin's representations have involved allegations of securities fraud, accounting fraud, bank fraud, insider trading, health care and medicare fraud, and theft of trade secrets. She also has conducted internal investigations for corporations and brokerage firms. In addition, she has represented financial institutions and individuals in arbitrations, complex civil litigation, and on appeal. 

Jodi speaks and writes frequently on topics relating to white collar crime and regulatory issues. She
is a member of the Board of, and a contributor to, the Business Crimes Bulletin.


Selected Representations:

  • An employee of a global biopharmaceutical company in connection with theft of trade secrets charges in the Northern District of New York.
  • A former CEO in connection with charges of securities fraud, bank fraud, wire fraud, and obstruction of justice. Charges dropped “in the interests of justice” after a White Paper was presented to federal prosecutors.
  • An executive of a medical device supply company in connection with a District of New Jersey investigation into healthcare and medicare fraud issues.
  • A portfolio manager of a fund in connection with an SEC investigation into allegations of insider trading involving PIPEs and registered direct offerings.
  • Several individuals in the investor relations department of a large bank in connection with
  • SEC and Department of Justice investigations into potential mortgage fraud issues.
  • A brokerage firm and certain high level executives in connection with a FINRA investigation.
  • A financial institution in a civil action and arbitration involving its prime brokerage business.
  • A large group of Native Americans in connection with a civil rights law suit arising out of a protest on the Onondaga Nation.
  • An internal investigation for a brokerage firm focusing on allegations of net capital deficiencies, obstruction, and anti-money laundering issues.
  • An internal investigation for a not-for-profit corporation focusing on allegations of employee embezzlement.
  • An internal investigation for a Fortune 500 company focusing on allegations of improper repatriation of overseas profits.
Education

Harvard Law School, J.D., cum laude
Tufts University, B.A., summa cum laude, Phi Beta Kappa


Admissions

United States Court of Appeals for the Second Circuit
United States Court of Appeals for the Eleventh Circuit
United States District Court for the Eastern District of New York
United States District Court for the Northern District of New York
United States District Court for the Southern District of New York

Experience

Law Clerk, Honorable Shirley Wohl Kram, U.S. District Judge for the Southern District of New York, 1991 – 1993
Associate, Morvillo Abramowitz, 1993 – 2000


Benjamin Brafman is the principal of a seven-lawyer firm Brafman & Associates, P.C. located in Manhattan.  Mr. Brafman’s firm specializes in criminal law with an emphasis on White Collar criminal defense. 

Mr. Brafman, a former Assistant District Attorney in the Rackets Bureau of the New York County District Attorney’s Office, has been in private practice since 1980.  He received his law degree from Ohio Northern University, in 1974, graduating with Distinction and serving as Manuscript Editor of The Law Review.  He went on to earn a Masters of Law Degree (LL.M.) in Criminal Justice from New York University Law School.  Mr. Brafman is a Fellow in the American College of Trial Lawyers and in 1997, was selected by New York Magazine as the "Best Criminal Defense Lawyer in New York."  He was  the recipient of the "Outstanding Private Criminal Defense Practitioner Award" for 2005 from the New York State Bar Association, and in March 2006 Mr. Brafman received the Norman Ostrow Award for outstanding achievement in the field of White Collar Criminal Defense by the New York Council of Defense Lawyers.   In January 2007, Mr. Brafman was presented with the "first" ever Clarence Darrow Award for Distinguished Practitioner by the New York State Association of Criminal Defense Lawyers. 

Mr. Brafman, has successfully represented a wide range of high-profile celebrities, prominent business leaders, lawyers, political figures and professionals in major criminal cases throughout the United States.


Christina B. Dugger is a Managing Director and Associate General Counsel at J.P. Morgan Chase & Co., where she heads the Government Investigations and Regulatory Enforcement Group (GIRE).  Christina rejoined J.P. Morgan in June of 2014 after serving as the Chief Assistant U.S. Attorney for the Eastern District of New York for over two years.

During her tenure as a federal prosecutor she tried numerous cases, including the retrial of Lemrick Nelson for the civil rights murder of Yankel Rosenbaum during the 1991 Crown Heights riots and, more recently, the March 2014 conviction of New York State Assemblyman William Boyland Jr. on bribery, extortion and corruption charges.

After leaving the U.S. Attorney’s Office in 2008, she was a Compliance Vice President in the Global Securities Division of Goldman Sachs & Co., where she focused on Fixed Income.  She then joined J.P. Morgan and helped to manage GIRE for close to three years. Christina began her legal career an associate at the New York law firm of Rogers & Wells, and then served as a law clerk to the Honorable Judith S. Kaye, Chief Judge of the New York State Court of Appeals.


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.

Clerkships

Honorable Denny Chin, United States District Court, Southern District of New York, 1995 – 1996


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.


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.


Marc P. Berger was named Director of the New York Regional Office in December 2017.  The New York office has responsibility for the largest concentration of SEC-registered financial institutions, including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds.

Before serving at the Commission, Mr. Berger was global co-head of Ropes & Gray LLP’s Securities and Futures Enforcement Practice.  His practice focused on white-collar criminal defense, regulatory enforcement, and internal investigations. 

From 2002 to 2014, Mr. Berger served as an Assistant U.S. Attorney in the Southern District of New York, including serving as Chief of that office’s Securities and Commodities Fraud Task Force.  In that role, he supervised the investigation and prosecution of some of the nation’s highest profile financial and investment fraud cases, including the largest crackdown on hedge fund insider trading in U.S. history.  As a prosecutor, Mr. Berger also personally investigated and tried a wide variety of cases involving securities and commodities fraud, as well as other crimes.

Mr. Berger earned his bachelor’s degree with distinction from Cornell University in 1996 and his law degree from the University of Virginia School of Law in 1999.  Before joining the U.S. Attorney’s Office in Manhattan, he served as a law clerk for the Honorable Richard M. Berman of the U.S. District Court for the Southern District of New York.


Michael C. Neus is General Counsel of ExodusPoint Capital Management, LP. Mike is also an Adjunct Professor of Law at Fordham Law School, where he teaches a course entitled “Investment Management Regulation and Compliance.”  Mike is a frequent author and lecturer on securities, compliance, hedge fund and private equity topics at industry events and for global regulators.  Mike was previously Senior Fellow with the Program on Corporate Compliance and Enforcement at New York University School of Law in 2017-2018.  From 2005 through 2016, Mike was responsible for all legal, compliance, human resource and administrative matters as Managing Partner and General Counsel of Perry Capital, LLC.  Prior to joining Perry Capital in 2005, Mike was the Chief Operating Officer and General Counsel at RHG Capital, L.P., Chief General Counsel of Andor Capital Management, L.L.C., and General Counsel of Soros Private Funds Management LLC. Mike began his professional career as an associate at the law firm Coudert Brothers, in both the Singapore and New York offices.  Mike is a Senior Fellow of the Regulatory Compliance Association and Vice Chair of the American Bar Association’s Business Law Sub-Committee on Institutional Investors. Mike is a former Director, Chairman of the Investment Advisory Subcommittee, and member of the Executive Committee of the Managed Funds Association.  Mike received his J.D. from Columbia University School of Law and his B.A. from the University of Notre Dame.


Reed Brodsky is a partner in Gibson, Dunn & Crutcher's New York office.  Mr. Brodsky is Co-Chair of Gibson Dunn's Crisis Management Practice Group and a member of the Securities Enforcement and White Collar Defense and Investigations Groups.  He is a nationally recognized trial lawyer and litigator best known for his success as lead trial counsel in two of the most high-profile white collar criminal cases in recent memory, United States v. Raj Rajaratnam in 2011, and United States v. Rajat Gupta in 2012.  Since joining Gibson Dunn, Mr. Brodsky has been a lead trial attorney in four high-profile trials, representing Chevron Corporation in Chevron v. Donziger et al. in 2013, AlixPartners in AlixPartners v. Thompson et al. in 2014, AIG's Lavastone Capital unit in Lavastone Capital LLC v. Coventry First LLC et al. in 2015, and Patriarch Partners/Lynn Tilton in SEC v. Patriarch in 2016.  Before joining Gibson Dunn, Mr. Brodsky spent eight years serving as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York, where he won all seven of his white collar criminal trials and many non-white collar trials. 

Mr. Brodsky’s areas of practice include trial work, white collar crime, securities enforcement proceedings, corporate internal investigations, compliance counseling and complex civil litigation.  Mr. Brodsky has extensive experience representing institutions, hedge funds, issuers of securities, board committees and individuals in connection with investigations, litigation and SEC enforcement proceedings under the federal securities laws.  Mr. Brodsky has counseled numerous hedge funds on securities trading and compliance matters.

Mr. Brodsky has received national recognition and many awards for his achievements and litigation skills. His litigation practice includes commercial disputes, civil litigation, and white-collar and securities enforcement matters.  In 2018, U.S. Legal 500 ranked Mr. Brodsky as one of the leading lawyers at Gibson Dunn in corporate investigations; he was a leading lawyer on two separate litigation teams that won Benchmark Awards for high-profile commercial litigation matters; and was a Benchmark finalist as one of the top securities lawyers in the country.  Mr. Brodsky is ranked among the top white collar litigators in New York by Chambers USA: America’s Leading Lawyers for Business, describing him as “a superstar” whom “you want in your corner when you’re stepping into the ring” with his “pragmatic and efficient approach.” Benchmark Litigation ranks him as a “Litigation Star.” Mr. Brodsky has been named as one of the “Top Rated White Collar Crimes Attorneys in New York,” by Super Lawyers, a leading investigations lawyer by Who’s Who Legal: Investigations, and a “Life Sciences Star” by LMG Life Sciences. Lawdragon Magazine cited Mr. Brodsky among the “500 Leading Lawyers in America” in 2012. Ethisphere Magazine named him one of 14 “Government Stars” in 2011. In 2012, Mr. Brodsky received the Attorney General’s Award for Distinguished Service; and in 2013, Mr. Brodsky received the Executive Office of U.S. Attorney’s Director’s Award for Superior Performance by a Litigative Team.


Richard B. Zabel is the General Counsel and Chief Legal Officer at Elliott Management Corporation.  He is formerly the Deputy United States Attorney at the United States Attorney’s Office for the Southern District of New York.  From October 2009 until October 2011, he was the Chief of the Criminal Division.  From 1999 until 2009, prior to rejoining the U.S. Attorney’s Office, Mr. Zabel was a partner at the law firm Akin Gump Strauss Hauer & Feld LLP, where he was co-head of the firmwide litigation practice.  His practice focused on white collar criminal defense, SEC investigations, corporate internal investigations, complex civil litigation and appeals.

Before joining Akin Gump, Mr. Zabel served for eight years as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York.  During his tenure, he prosecuted a variety of cases involving securities fraud, obstruction of justice, racketeering, murder, firearms and narcotics charges, and argued numerous cases before the U.S. Court of Appeals for the Second Circuit.  Mr. Zabel served as Chief of the Narcotics Unit at the U.S. Attorney’s Office and has received numerous awards, including the Attorney General’s Award for Distinguished Service and the Department of Justice Director’s Award for Superior Performance as an Assistant U.S. Attorney.

Mr. Zabel received his A.B. summa cum laude in 1983 from Princeton University, where he was a member of Phi Beta Kappa.  He was a Fulbright Scholar to France.  He received his J.D. in 1987 from Harvard Law School where he was an Ames Moot Court winner and Best Oralist.  He teaches as an adjunct professor of National Security and Terrorism Investigations and Prosecutions at Columbia Law School.  He has also taught Criminal Law at the Fordham University School of Law.

Written Works

  • “In Pursuit of Justice, Prosecuting Terrorism Cases in the Federal Courts:2009 Update and Recent Developments,” Human Rights First, July 2009
  • “In Pursuit of Justice, Prosecuting Terrorism Cases in the Federal Courts,” Human Rights First, May 2008
  • “Congress’ Role in Investigating Fraud:Are Legislators’ Aggressive Approaches in Hearings Helping or Hindering the Process?” New York Law Journal
  • “Reviewing Materiality in Accounting Fraud,” New York Law Journal
  • “Queen for a Day” or “Courtesan for a Day,” Andrews White Collar Reporter
  • “Recent Activity by the Sentencing Commission,” White Collar Crime Reporter
  • “Amending the Sentencing Guidelines,” New York Law Journal


Richard J. Sullivan was sworn in as a United States Circuit Court Judge for the Second Circuit in October 2018.  Before that, Judge Sullivan served for eleven years as a United States District Judge for the Southern District of New York.  Prior to becoming a judge, he was General Counsel and Managing Director of Marsh Inc., the world's leading risk management and insurance brokerage firm.  From 1994 to 2005, he served as an Assistant United States Attorney in the Southern District of New York, where he was Chief of the International Narcotics Trafficking Unit and Director of the New York/New Jersey Organized Crime Drug Enforcement Task Force.  In 2003, he was awarded the Henry L. Stimson Medal from the Association of the Bar of the City of New York.  In 1998, he was named the Federal Law Enforcement Association=s Prosecutor of the Year.  Prior to joining the U.S. Attorney=s Office, he was a litigation associate at Wachtell, Lipton, Rosen & Katz in New York and a law clerk to the Honorable David M. Ebel of the United States Court of Appeals for the 10th Circuit.  He is a graduate of Yale Law School, the College of William & Mary, and Chaminade High School on Long Island.  From 1986 to 1987, he served as a New York City Urban Fellow under New York City Police Commissioner Benjamin Ward.  Judge Sullivan is on the executive board of the New York American Inn of Court and the Center for Law and Religion at St. John’s University School of Law.  He is an adjunct professor at Columbia Law School, where he teaches courses on sentencing and jurisprudence, and he previously served as an adjunct professor at Fordham Law School, where he taught courses on white collar crime and trial advocacy and was named Adjunct Professor of the Year. 


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.


Susan E. Brune has been consistently recognized for excellence in the practice of law.  Susan focuses her practice on white collar matters, helping individuals and entities through investigations involving the U.S. Department of Justice, the SEC, FINRA and other criminal and regulatory bodies.

Susan has repeatedly warded off indictment and regulatory charges through sound strategic choices, meticulous preparation and forceful advocacy. When cases are brought, she is equally effective. A seasoned trial lawyer, she obtained the acquittal of a Bear Stearns hedge fund manager in a federal jury trial.

In 2010, the New York State Association of Criminal Defense Lawyers conferred upon her the Hon. Thurgood S. Marshall Award for Outstanding Criminal Practitioner, an award conferred annually on one practitioner in New York.

After leaving the U.S. Attorney’s Office and before founding Brune Law P.C., Susan founded and for 18 years led Brune & Richard LLP, a firm that The New York Times described as “a top-flight New York litigation boutique.”

Susan is a graduate of Harvard Law School.


Valerie A. Szczepanik is Senior Advisor for Digital Assets and Innovation and an Associate Director for the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC).  Before that, she served as Assistant Director in the Division of Enforcement’s Cyber Unit.  She is Head of the SEC’s Distributed Ledger Technology Working Group, Co-Head of its Dark Web Working Group, and a member of its FinTech Working Group.  Ms. Szczepanik served as a Special Assistant United States Attorney at the United States Attorney’s Office for the Eastern District of New York.  She clerked for federal judges on the United States District Court for the District of Columbia and the United States Court of Appeals for the Federal Circuit and, prior to clerking, practiced patent law.  Ms. Szczepanik received her JD from Georgetown University and her Bachelor of Science degree in Engineering from the University of Pennsylvania.


Anjan Sahni is a highly experienced litigator who has overseen some of the most significant white collar and securities fraud prosecutions in recent years. Mr. Sahni rejoined the firm after more than a decade as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where he recently served as Chief of the Securities and Commodities Fraud Task Force and Co-Chief of the Terrorism and International Narcotics Unit.

As Chief of the Securities and Commodities Fraud Task Force, Mr. Sahni supervised investigations and prosecutions involving insider trading, accounting fraud, corporate fraud, market manipulation, commodities fraud, investment advisory fraud, violations of the Bank Secrecy Act and Foreign Corrupt Practices Act, and fraud involving complex financial instruments. In that role, he regularly coordinated criminal investigations with an array of different civil regulators, including the SEC, CFTC, Federal Reserve, FINRA, OCC, FinCEN and NYDFS.

Prior to supervising the Securities and Commodities Fraud Task Force, Mr. Sahni served as the Co-Chief of the Terrorism and International Narcotics Unit. In that role, he oversaw investigations and prosecutions involving domestic and international terrorism, arms trafficking, counterintelligence, piracy, money laundering, violations of export controls and economic sanctions laws, and global narcotics trafficking. He was the co-prosecutor of notorious arms dealer Viktor Bout and oversaw the successful prosecution of would-be Times Square bomber Faisal Shahzad.

After receiving his law degree from Yale Law School, Mr. Sahni clerked for the Honorable Pierre N. Leval of the United States Court of Appeals for the Second Circuit, after which he joined WilmerHale as a litigation associate.

Mr. Sahni has been regularly recognized by the legal community for his corporate investigations, financial services litigation and white-collar criminal defense expertise. For the past three years he’s been named one of the world's leading lawyers for business by Chambers USA in the New York white-collar crime and government investigations litigation category.


Joshua Berman, co-head of Katten’s White Collar Defense, Internal Investigations and Compliance practice, represents high-profile clients in notable white collar criminal and regulatory investigations, complex civil litigation, federal appellate litigation and compliance matters. He regularly conducts sensitive internal investigations for major corporate clients in the United States and overseas, and is experienced in handling Foreign Corrupt Practices Act (FCPA), securities fraud, environmental, antitrust, and health care fraud and abuse matters throughout the world.

Josh, an experienced appellate litigator, briefed and argued a number of cases before the US Courts of Appeals for the District of Columbia, Second, Fifth and Ninth Circuits. He was appointed by the US Sentencing Commission to serve as a member of its Practitioners Advisory Group.

He served as a senior federal prosecutor at the Department of Justice and the US Attorney’s office for the Southern District of New York. As an Assistant US Attorney, Josh investigated, prosecuted and tried cases relating to white collar crime, securities fraud, health care fraud, public corruption, obstruction of justice, bank fraud, anti-piracy and copyright infringement, money laundering, environmental, racketeering, cybercrime, espionage, counter-terrorism, and organized and violent crime. He was on an elite team of prosecutors who investigated and prosecuted al Qaeda members and associates overseas and within the United States.

In 2001, he served as Associate Investigative Counsel on the Webster Commission, leading one of the teams that reviewed the FBI’s national security and counterintelligence programs in the wake of FBI Special Agent Robert Hanssen’s espionage. In 2002, Josh joined the Department of Justice’s Public Integrity Section, where he investigated and prosecuted cases across the country relating to bribery, mail and wire fraud, and federal campaign and election laws.

He served as an adjunct professor of law at Columbia Law School, Georgetown University, American University, The George Washington University, The Catholic University of America and Benjamin N. Cardozo School of Law, where he taught courses on white collar crime, federal prosecutions and cybercrime. Josh regularly provides commentary and insight on legal issues, recently providing his thoughts to The New York Times, The NewsHour with Jim Lehrer, CNN, The Wall Street Journal, Good Morning America, Nightline, Bloomberg, Chicago Tribune, CNBC and MSNBC, TIME, Legal Times, The Los Angeles Times, USA Today, NPR, Roll Call, Sports Illustrated, The Hill, The New York Sun, The Sporting News and The News & Observer.

Education

  • JD, University of Michigan Law School, magna cum laude, Order of the Coif

  • BA, Cornell University, magna cum laude

 

Court Admissions

  • US Supreme Court
  • US District Court, District of Columbia
  • US District Court, Southern District of New York
  • US District Court, Northern District of Illinois
  • US Court of Appeals, District of Columbia Circuit
  • US Court of Appeals, Second Circuit
  • US Court of Appeals, Seventh Circuit
  • US Court of Appeals, Ninth Circuit


Bar Admissions

  • District of Columbia
  • New York
  • Illinois

Recognition

  • Super Lawyers 2012–2013
  • Washingtonian Magazine “Top Lawyers in the District of Columbia” 2012
  • Katten Muchin Rosenman LLP Pro Bono Service Award 2012

Memberships
  • Federal Criminal Justice Act Panel, District of Columbia US Sentencing Commission Practitioners Advisory Group
  • University of Michigan Depression Center, National Advisory Board

http://www.kattenlaw.com/joshua-berman


Mr. Hotz, a former federal prosecutor, represents individuals and corporations in white collar matters and related civil litigation. Prior to joining Akin Gump in 2004, Mr. Hotz served for more than five years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York and was a member of the Securities and Commodities Fraud Task Force. He was co-lead prosecutor in the successful insider trading prosecutions arising out of the leak of the U.S. Treasury Department’s decision to suspend issuance of the 30-year bond.

Mr. Hotz is a member of the New York Council of Defense Lawyers and the New York State Bar Association Committee on White Collar Criminal Litigation. He has written and spoken on developments in white collar crime.

Representative Matters:

Mr. Hotz’s recent matters include:

  • defending the former Chief Financial Officer of a financial services firm in government investigations and parallel civil litigation
  • defending current and former executives of a major global financial services company in a DOJ, CFTC and FSA investigation regarding the London InterBank Offered Rate (“Libor”)
  • representing employees of a Fortune 500 company in an SEC investigation into certain accounting practices in the U.S. and Europe
  • defending the retired vice chairman of Tax of a big-three accounting firm in a criminal tax shelter prosecution
  • representing executives of a global financial services provider in an investigation concerning possible violations of U.S. sanctions
  • representing hedge funds in insider trading investigations brought by the DOJ and SEC
  • representing employees of an interdealer broker in an SEC investigation concerning trading practices
  • representing the former head of exploration and production of a leading energy company in a DOJ, SEC and FSA investigation of its accounting for petroleum reserves
  • representing executives of a Fortune 50 pharmaceutical wholesaler in an SEC/DOJ investigation and parallel shareholder litigation
  • representing a former executive of a mining and resource company in a Foreign Corrupt Practices Act (“FCPA”) investigation by the DOJ and SEC.
  • Community Involvement
  • Mr. Hotz is a member of the board of directors of the New York Lawyers for the Public Interest.


James J. Benjamin Jr., a leader of Akin Gump’s securities enforcement and litigation practice group, represents institutional and individual clients in a wide variety of government and regulatory investigations and litigation. He has served as lead counsel in numerous internal investigations and has conducted numerous jury trials. He has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business in the areas of white-collar crime and government investigations.  Before joining Akin Gump, Mr. Benjamin served for more than five years as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he served as deputy chief appellate attorney and as a member of the Securities and Commodities Fraud Task Force. Mr. Benjamin previously served as a law clerk at the U.S. Supreme Court for Justices Lewis F. Powell Jr. and John Paul Stevens. He received his A.B. magna cum laude in 1987 from Dartmouth College, where he was a member of Phi Beta Kappa, and he earned his J.D. with honors in 1990 from the University of Virginia School of Law, where he was the research and projects editor of the Virginia Law Review.


Andrew M. Calamari is the Director of the Commission’s New York Regional office.  He served as Associate Director and co-head of Enforcement in New York for eight years before assuming his present position.  Before coming to the Commission in 2000, Mr. Calamari was engaged in private law practice for nearly 15 years, including as a litigation partner at Donovan Leisure Newton & Irvine.  He has co-authored a treatise on Complex Litigation and is co-author of the securities litigation chapter in a Matthew Bender treatise on securities law.


John Carroll represents institutional and individual clients in criminal, regulatory and complex civil disputes. He has extensive experience representing clients in domestic and multinational criminal and regulatory investigations relating to alleged financial
fraud, corrupt payments, online gaming and other matters. Mr. Carroll regularly counsels financial institutions and their senior officers in matters involving the Department of Justice, the Securities and Exchange Commission and state attorneys general. He has tried numerous criminal and commercial cases.

Mr. Carroll has been active in representing financial institutions and their senior officers in investigations arising out of the 2008 market collapse and in representing global companies in connection with corrupt payment allegations. Mr. Carroll is also representing clients in connection with the Department of Justice’s insider trading investigations of the ties between hedge funds and so-called “expert networks.”

Mr. Carroll formerly served as the chief of the Securities and Commodities Fraud Task Force in the Southern District of New York. He also was a member of the U.S. Attorney General’s Economic Crimes Council and the Department of Justice’s Securities and Commodities Fraud Working Group.

Mr. Carroll repeatedly has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business, among other publications. He was profiled in an article by Law360 that named Skadden as a “White Collar Group Of The Year” for 2010.

Education

J.D., New York University School of Law
B.A., Yale University

Bar Admissions

New York, U.S. District Court for the Southern District of New York

Authorships

“The Long Arm of the Law,” Legal Week, May 27, 2010

“Wiretaps for Dummies,” New York Law Journal, February 8, 2010

“The Incredible Shrinking FCPA Facilitation Payment Exception,” New York Law Journal, October 13, 2009


Dave Rody is a former federal prosecutor with extensive trial and investigative experience in both the public and private sectors, including as a long-time senior unit chief in the U.S. Attorney’s Office for the Southern District of New York. He has served as lead or co-lead counsel in more than a dozen significant federal jury trials, on charges ranging from insider trading and drug diversion, to terrorism and capital murder. Mr. Rody has also directed hundreds of investigations in a wide variety of matters, including securities fraud, bank fraud, mail fraud, money laundering, off-label promotion, obstruction of justice, extortion, narcotics trafficking, and racketeering. During his years of government service, Mr. Rody earned a reputation as one of the most experienced and successful trial lawyers in the U.S. Attorney’s Office, convicting all defendants in all trials, including several that lasted two months or more. Mr. Rody has also briefed and argued numerous criminal appeals before the U.S. Court of Appeals for the Second Circuit.

Mr. Rody’s practice focuses on white collar criminal defense, securities enforcement matters, FDA and healthcare enforcement matters, internal corporate investigations, corporate compliance counseling, and complex commercial litigation. He regularly represents individuals and corporations before the Department of Justice, the Securities and Exchange Commission, the New York State Department of Financial Services, and other government and regulatory agencies.

Recent Engagements

Mr. Rody’s recent engagements include:

  • the representation at trial in the Southern District of New York of a hedge fund manager charged with insider-trading by the U.S. Attorney’s Office, and in a parallel civil enforcement proceeding brought by the SEC;
  • the representation of a hedge fund in connection with separate investigations by the SEC into insider-trading and foreign currency exchange manipulation;
  • the representation of a key executive of Bernard L. Madoff Investment Securities in connection with the ongoing investigation and prosecution of individuals associated with Madoff’s ponzi scheme by the U.S. Attorney’s Office;
  • the representation of a pharmaceutical services company in connection with separate off-label promotion investigations by federal authorities and state attorneys general;
  • the representation of leading U.S. insurance companies in connection with separate inquiries by the New York State Department of Financial Services;
  • the representation of international investment and commercial banks regarding anti-corruption advice and compliance.

PRACTICES

  • Complex Commercial Litigation
  • Securities & Derivatives Enforcement and Regulatory
  • White Collar: Government Litigation & Investigations

AREAS OF FOCUS

  • Anti-Money Laundering
  • Antitrust and Unfair Competition
  • Antitrust Government Investigations
  • Compliance Counseling - White Collar
  • FCPA/Anti-Corruption
  • FDA Enforcement
  • Government Contracting, Bid Protests and the False Claims Act
  • Grand Jury Investigations
  • Healthcare Enforcement
  • Healthcare Fraud
  • Hedge Funds
  • Insider Trading
  • Internal Investigations
  • Investment Advisers and Mutual Funds
  • National Security
  • Sports
  • Trials

ADMISSIONS & CERTIFICATIONS

  • U.S. Court of Appeals, 2nd Circuit, 2002
  • U.S. District Court, E.D. of New York, 2011
  • U.S. District Court, S.D. of New York, 2011
  • District of Columbia, 1996
  • New York, 2011

EDUCATION

  • The University of Chicago Law School (J.D., 1995), with honors
  • Brown University (B.A., 1989), magna cum laude

CLERKSHIPS

  • Denise Cote, U.S. District Court, S.D. of New York
  • Dennis G. Jacobs, U.S. Court of Appeals, 2nd Circuit


Marshall L. Miller is a Senior Fellow at New York University’s Program on Corporate Compliance and Enforcement.

Until July 2015, Mr. Miller served as the Principal Deputy Assistant Attorney General and Chief of Staff of the Criminal Division of the Department of Justice (DOJ).  In that position, Mr. Miller supervised over 600 federal prosecutors and oversaw critical investigative, charging, and litigation decisions for DOJ’s highest profile prosecutions.  Mr. Miller also played a key role in determining, implementing, and explaining DOJ priorities, initiatives, and policies, including testifying on Capitol Hill, briefing Congressional staff, and advising executive branch officials.  Mr. Miller joined DOJ’s Criminal Division from the United States Attorney’s Office for the Eastern District of New York (EDNY), where he worked as an Assistant United States Attorney for approximately 12 years.  At the EDNY, Mr. Miller served in a number of leadership positions, ultimately as the Chief of the Criminal Division.

Mr. Miller has conducted and supervised the prosecution of numerous complex cases, involving charges ranging from terrorism and violent crime to corruption and financial fraud, including cases resulting in convictions of some of the world’s largest corporations, corporate executives, members of Congress, and international terrorists.  For his work, Mr. Miller has received a number of DOJ’s highest awards, including an Attorney General’s Award for Excellence in Furthering the Interests of National Security and a Director’s Award for Superior Performance.  He has also received awards from the New York City Bar Association, the Director of National Intelligence, and the Federal Law Enforcement Foundation.  In 2009, Mr. Miller was recognized for the most outstanding performance by an AUSA at the Department of Justice by the National Association of Former United States Attorneys.

Mr. Miller has also engaged significantly in the teaching of law, both as a full-time and adjunct professor.  In 2006, Mr. Miller co-founded the EDNY Federal Criminal Prosecution Clinic at New York University (NYU) Law School, and taught as an adjunct clinical professor in the clinic from 2006 through 2012.  Previously, from 2003 through 2005, he taught full-time at NYU Law School’s Lawyering Program.  Mr. Miller also taught National Security Law as an adjunct professor at Fordham Law School in 2012.  Mr. Miller clerked for the Honorable Allyne R. Ross, United States District Judge for the Eastern District of New York. He earned both his J.D. and B.A. from Yale.