Kevin McCarthy is a Senior Executive Vice President and General Counsel of BNY Mellon. He heads BNY Mellon’s Legal Department, has overall responsibility for government affairs, serves as the Corporate Secretary of BNY Mellon and is also member of the company’s Executive Committee, its most senior management body, which oversees day-to-day operations.
Kevin was appointed to his current position in April 2014. He joined BNY Mellon in 2010 as Deputy General Counsel and led the Litigation, Enforcement and Employment Law functions. In 2013 he was appointed Senior Deputy General Counsel and assumed additional responsibility for the legal teams supporting the company’s Asset Servicing businesses and corporate center functions.
Prior to joining BNY Mellon, Kevin was General Counsel of Cowen Group, Inc., a diversified investment bank and financial services firm. From 2004 to 2007, he was a partner at Wilmer Hale, focused on securities and litigation matters. From 1996 to 2004, Kevin was at Credit Suisse First Boston in a variety of roles, most recently as Managing Director and Global Head of Litigation. Kevin began his legal career as an associate at Willkie Farr & Gallagher.
Mr. McCarthy received a B.A. from Siena College and his J.D. from Albany Law School of Union University.
Andrew J. Ceresney is a partner in the New York office of Debevoise and Co-Chair of the Litigation Department.
Mr. Ceresney represents public companies, financial institutions, asset management firms, accounting firms, boards of directors, and individuals in federal and state government investigations and contested litigation in federal and state courts. Mr. Ceresney has many years of experience prosecuting and defending a wide range of white collar criminal and civil cases, having served in senior law enforcement roles at both the United States Securities and Exchange Commission and the U.S. Attorney’s Office for the Southern District of New York. Mr. Ceresney also has tried and supervised many jury and non-jury trials and argued numerous appeals before federal and state courts of appeal.
Prior to rejoining Debevoise in 2017, Mr. Ceresney served for nearly four years as the Director of Enforcement at the SEC under Chair Mary Jo White. In that role, he oversaw approximately 1,400 SEC personnel, supervising law enforcement efforts in 12 offices throughout the country, including matters related to financial reporting and accounting, asset management, insider trading, market structure, and the Foreign Corrupt Practices Act (FCPA). Under his leadership, the Division brought a record number of cases, including pathbreaking and significant cases across the entire spectrum of the securities industry. Mr. Ceresney also helped broaden the use of the SEC’s analytical tools to detect and investigate financial misconduct, while enhancing the Enforcement Division’s litigation capacity and improving morale. As Director of Enforcement, Mr. Ceresney worked closely with the high-level leadership of other regulators, including the Department of Justice, many U.S. Attorney’s offices, CFTC, New York Attorney General, New York Department of Financial Services, FINRA and CFPB.
Prior to joining the SEC in 2013, Mr. Ceresney Co-Chaired the White Collar & Regulatory Defense Group at Debevoise. Mr. Ceresney played an integral role in negotiating the historic $25 billion national mortgage settlement between the federal government, 49 state attorneys general and some of the country’s largest banks. His practice focused on a wide range of issues, including securities-related and money laundering for financial institutions, and investigations and civil matters relating to accounting fraud, FCPA, valuation issues, complex financial instruments, insider trading and disclosure issues. He also handled matters involving the pharmaceutical industry, including government investigations of promotional practices and class action litigation.
Prior to joining Debevoise in 2003, Mr. Ceresney served as a Deputy Chief Appellate Attorney in the U.S. Attorney’s Office for the Southern District of New York. During his tenure at the US Attorney’s Office, Mr. Ceresney was a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit and handled numerous white collar criminal investigations, trials and appeals, including matters relating to securities fraud, mail fraud, money laundering, public corruption and obstruction of justice.
Mr. Ceresney received his J.D. in 1996, from Yale Law School, where he was Essays Editor of the Yale Law Journal. He obtained his B.A. summa cum laude Phi Beta Kappa, from Columbia University in 1993.
Dixie Johnson represents businesses and individuals in securities enforcement investigations and conducts internal investigations for corporate board committees and companies. As a partner on our Securities Enforcement and Regulation team and our Special Matters and Investigations team, Dixie serves as Deputy Practice Group Leader for Government Matters, a collection of ten government-facing practices within our firm. She appears regularly before the SEC, DOJ, FINRA, PCAOB and other federal and state authorities. Since she joined King & Spalding in early 2014, the government has closed over two dozen investigations without charging Dixie's clients.
Dixie brings to her clients solid judgment and strategic insight from over 30 years of experience in representing public companies, financial institutions, investment managers, broker-dealers, public accounting firms, boards of directors and boards of trustees, law firms, corporate officers and others. She is widely recognized as a legal industry leader in securities enforcement, regulatory compliance, corporate governance and crisis management.
Board committees call on Dixie to investigate accounting and disclosure-related whistle-blower allegations and look to her for guidance in times of crisis. She is a Fellow of the American College of Governance Counsel and served for five years as a member of the Lead Director Network, regularly interacting with lead directors, presiding directors, and non-executive board chairs from many of the largest companies in the world.
Public companies and regulated entities seek Dixie's representation in complex securities-related government investigations. C-Suite officers and other professionals look to Dixie for representation in internal and SEC or other investigations when their careers are on the line. She is a lawyer's lawyer, representing law firms and lawyers under scrutiny. She analyzes lessons learned and especially enjoys counseling clients on how to avoid problems in the future.
Chambers USA, Legal 500, Benchmark, Who’s Who, Best Lawyers and others all consistently rank Dixie as a leading lawyer, and Chambers included our practice on the 2017 short list of firms for Securities and Financial Services Regulation. In 2017, Chambers wrote that Dixie “wins praise across the board for her ‘terrific relationship with the SEC’” and noted her “expert, broad-based enforcement practice.” Dixie also has served in multiple leadership roles within the American Bar Association, including as co-Chair of the Fellows Committee, Business Law Section Chair and as Chair of the Federal Regulation of Securities Committee. She is a member of the Board of Trustees for the Legal Aid Society of Washington, D.C. and of the Board of Advisors for the SEC Historical Society. Before becoming a lawyer, Dixie served for six years as a public school teacher in Albuquerque, New Mexico.
F. Joseph Warin is chair of Gibson, Dunn & Crutcher LLP’s Washington, D.C. Office's Litigation Department, co-chair of the firmwide White Collar Defense and Investigations Practice Group, and is a former federal prosecutor. His clients have included corporations, officers, directors and professionals in regulatory, investigative and trial matters. For many years, Mr. Warin has been hired by audit committees or special committees of public companies to conduct investigations into allegations of wrongdoing. These investigations have been in a wide variety of industries including energy, oil services, financial services, healthcare and telecommunications.
Mr. Warin is one of only ten lawyers currently ranked in Chambers USA in five categories, including a “Star” in Nationwide FCPA and D.C. Litigation: White Collar Crime & Government Investigations. Chambers honored Mr. Warin with the Outstanding Contribution to the Legal Profession Award in 2017, and the Chambers USA Award for Excellence in the category of Litigation: White Collar Crime & Government Investigations in 2014. Chambers Global 2017 ranked Mr. Warin a “Star” in USA – FCPA “with exceptional expertise across all aspects of anti-corruption law”. Chambers Latin America ranked him as a top-tier lawyer in Latin America-wide, Fraud & Corporate Investigations from 2015-2017. In 2018, Who’s Who Legal selected him as a “Thought Leader: Investigations” who obtained the biggest number of nominations from peers and corporate counsels. In 2016, Who’s Who Legal and Global Investigations Review also named Mr. Warin to their list of World’s Ten-Most Highly Regarded Investigations Lawyers. In addition, BTI Consulting named Mr. Warin to its 2017 BTI Client Service All-Stars list. He was also named by Securities Docket to its “Enforcement 40” 2017 list. He was selected as a 2017 Top Lawyer for Criminal Defense by Washingtonian magazine, published December 2017. The Am Law Litigation Daily named Mr. Warin Litigator of the Week on September 22, 2017 for his victory in defending KeyPoint Government Solutions in overlapping class actions arising out of the cyberattack on the U.S. Office of Personnel Management in 2015.
Gregory S. Bruch represents public companies, audit committees and special committees, broker-dealers, hedge funds and asset managers, accountants and lawyers, and other institutions and individuals in civil and criminal securities law enforcement, compliance and litigation. Mr. Bruch has been lead counsel for securities enforcement and related civil and criminal matters for many leading companies and financial services firms. He has served as corporate monitor, counsel to the corporate monitor, and independent compliance consultant for a range of subjects arising from SEC and DOJ settlements. He is recognized as a leading attorney in securities regulation and litigation, and white-collar defense, by Chambers USA (2006-2018), The Best Lawyers in America® (2007-2018), Benchmark Litigation, and other publications.
Mr. Bruch worked at the SEC’s Division of Enforcement for 12 years, the last five as an Assistant Director, where he was responsible for many of the agency’s significant enforcement actions concerning complex financial fraud, market manipulation, insider trading, and the FCPA. Prior to co-founding Bruch Hanna LLP, Mr. Bruch was a partner in the Washington, DC offices of Willkie Farr & Gallagher LLP and Foley & Lardner LLP.
Mr. Bruch is a frequent speaker and panelist on securities enforcement matters, and has been quoted in numerous media publications. He graduated from Stanford University (AB History, 1982), and from the University of Iowa College of Law (JD with High Distinction, 1985), where he was the Editor in Chief of the Iowa Law Review and received the Legal Scholarship Award from the law faculty. Following graduation, Mr. Bruch was a law clerk to the Hon. George E. MacKinnon of the United States Court of Appeals for the DC Circuit.
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.
John F. Savarese has been a partner in the litigation department of Wachtell, Lipton, Rosen & Katz for over 25 years.
Mr Savarese worked in the United States Attorneys' Office for the Southern District of New York, where he received the Attorney General's John Marshall Award for Outstanding Legal Achievement, and also served as Chief Appellate Attorney.
Mr Savarese teaches a course on white-collar criminal law at Harvard Law School, serves on the executive committee of the New York City Bar Association, and is a member of the American Law Institute. Mr Savarese is chairman of the Vera Institute of Justice in New York, a member of the Dean's Advisory Board at Harvard Law School, and a member of the board of the Lawyers' Committee for Civil Rights Under Law.
Mr Savarese graduated from Harvard University in 1977 and received his JD from Harvard Law School in 1981, where he was an editor of the Harvard Law Review.
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.
Scott Morvillo, a partner at Morvillo LLP, represents individuals and corporations in a wide range of criminal, regulatory and civil matters as well as internal investigations. He has recently represented executives and businesses in investigations, prosecutions and civil actions involving allegations of securities fraud, public corruption, bank fraud, bribery, wire and mail fraud, accounting fraud, health care fraud, insurance fraud and violations of the Arms Export Control Act. Scott, a former Assistant United States Attorney for the Eastern District of New York, regularly practices before the United States District Courts for the Southern and Eastern Districts of New York, the Second Circuit, the New York State Supreme Court, the Securities and Exchange Commission, the Federal Election Commission, and other regulatory agencies. In 2013, Scott was selected as a Best Lawyer in America and named in Super Lawyers in the area of white collar criminal defense.
Scott received an A.B. from Colgate University in 1992 and a J.D. from Fordham University School of Law in 1997, where he was a member of the Fordham Urban Law Journal. Following graduation, Scott clerked for the Honorable David N. Edelstein, United States District Judge for the Southern District of New York, from 1997 to 1998. After his clerkship, Scott worked as an associate for two years in the Litigation Department at Rogers & Wells, LLP, in New York. At Rogers & Wells, Scott concentrated primarily on securities litigation, antitrust, and white-collar criminal defense. From 2000-2001, Scott clerked for the Honorable Barbara S. Jones, United States District Judge for the Southern District of New York, following which he returned to Clifford Chance Rogers & Wells, LLP.
From 2002 to 2007, Scott served as an Assistant United States Attorney for the Eastern District of New York, where he investigated and tried a wide variety of criminal cases in the areas of RICO, narcotics, money laundering, bank fraud and credit card fraud. Following his service in the United States Attorney's Office, from 2007 to 2012, Scott was Counsel at Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C. where he focused on white-collar criminal defense and regulatory enforcement.
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.
Susanna M. Buergel is a partner in the Litigation Department of Paul, Weiss, Rifkind, Wharton & Garrison LLP. Susanna serves as co-chair of the Securities Litigation and Enforcement Group. The Group has been named Securities Litigation Department of the Year by The American Lawyer, The New York Law Journal, Benchmark Litigation, Law360 and U.S. News and World Report. The American Lawyer called the practice “big, powerful and swaggering,” noting that “no other firm matched the number and magnitude of headline making securities litigation.” Susanna has extensive experience handling a broad range of matters, with particular emphasis defending financial institutions and corporations in complex securities and commercial matters in federal and state courts across the country. She also regularly represents clients, including financial institutions and other public companies, before the Securities and Exchange Commission, the Department of Justice and numerous other federal and state regulatory authorities. Susanna has been recognized by numerous publications and directories, including Law360, Chambers USA, The Legal 500 and Benchmark Litigation. In 2018, Law360 named Susanna a Banking MVP and in 2017 Benchmark Litigation listed Susanna as a Top 250 Women in Litigation.
Susanna served as articles editor of the Columbia Law Review and was a Harlan Fiske Stone Scholar. She is an adjunct lecturer in law at Columbia Law School and currently teaches a course in trial practice. Susanna was named a Law360 Banking MVP in 2018, and in 2010 she was selected to Law360’s list of 10 Securities Lawyers Under 50 to watch. Susanna was ranked by Chambers USA 2018 in the Litigation: Securities (NY) category and was named a “Litigation Star (US)” and “Local Litigation Star (NY)” by Benchmark Litigation. In 2018, she was also recognized by Lawdragon in its list of 31 “Legends” and she was included in its list of “500 Leading Lawyers.” Susanna was recommended by The Legal 500 US 2018 in the “Securities Litigation: Defense” category. She was also recognized in the 2019 edition of Best Lawyers for her work in commercial litigation. In 2017, she was named to Benchmark Litigation’s Top 250 Women in Litigation and in 2016, Susanna was recognized by Law360 as one of “The 25 Most Influential Women in Securities Law.”
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.
Richard Tarlowe is a partner in the Litigation Department of Paul, Weiss, Rifkind, Wharton & Garrison, where he focuses his practice on white collar and regulatory defense, government investigations, cybersecurity and high-stakes litigation. Richard regularly counsels corporations and senior executives in internal investigations and in all stages of criminal and regulatory investigations and proceedings. Prior to joining Paul, Weiss, Richard served for eight years as an Assistant U.S. Attorney in the Southern District of New York, where he was Chief of the Complex Frauds and Cybercrime Unit and a member of its Securities & Commodities Fraud Task Force. Richard oversaw the investigation and prosecution of a wide array of white collar matters, including sophisticated financial frauds, cybercrimes, Foreign Corrupt Practices Act (FCPA) violations, criminal tax offenses and health care fraud. He played a critical role in the government's crackdown on insider trading and litigated some of the most significant and high-profile securities fraud trials in the country, including the successful insider trading prosecution of Rajat Gupta, a former Goldman Sachs board member and chair of McKinsey & Co. Richard also handled cases involving public corruption, investment advisor fraud, accounting fraud and market manipulation. During his tenure as a federal prosecutor, Richard conducted numerous jury trials and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit. Mr. Tarlowe graduated summa cum laude from Duke University and received his law degree magna cum laude from Harvard Law School.
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.
Elaine Stone is a partner in the firm’s White Collar Defense and Investigations Practice Group. Ms. Stone conducts sensitive, high-profile investigations on behalf of Boards of Directors and their Committees. She has particular expertise in advising Special Litigation Committees of Boards in connection with derivative shareholder lawsuits, including for HP, Clear Channel and infoUSA. In another recent matter, she advised the Board of a major national healthcare company under investigation by federal and state authorities.
Prior to joining Covington, Ms. Stone served as Counsel to the Impeachment Trial Committee of the United States Senate; as Associate Counsel to the AEI-Brookings Project on the Independent Counsel Project, headed by former Senate leaders George Mitchell and Bob Dole; and as an Assistant District Attorney in Nueces County, Texas.
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