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Internal Investigations 2015


Speaker(s): Gregory Morvillo, James E. Johnson, Joshua E. Levine, Katherine M. Choo, Katherine R. Goldstein, Lee S. Richards III, Martine M. Beamon, MaryJeanette Dee, Michael Delikat, Mylan Lee Denerstein, Nancy Kestenbaum, Peter J. Romatowski, Richard J. Morvillo, Samuel J. Winer, Sheldon Goldfarb, Stephanie Avakian, Steven R. Peikin, Susan L. Merrill, Thomas A. Hanusik, Wayne M. Carlin
Recorded on: Jun. 25, 2015
PLI Program #: 58803

Josh Levine is a Director and Associate General Counsel at Citigroup Global Markets. Inc., Working at Citi since 2006, Josh handles a broad range of regulatory and internal investigations, sweeps, enforcement and litigation proceedings, and other related inquiries conducted by federal and state regulatory authorities, criminal law enforcement authorities, and self-regulatory agencies. Prior to Citi, Josh was an enforcement attorney in the SEC's New York Regional Office, with responsibility for planning and directing investigations and litigations involving all aspects of the securities markets. Prior to the SEC, Josh was a litigation associate at Davis Polk & Wardwell. Josh received a J.D. from NYU School of Law in 1999, an M.A. in Political Science from Columbia University in 1995, and a B.A. in Government and History from Connecticut College in 1994.


Gregory Morvillo is a partner at Morvillo LLP, the New York & Washington DC law firm he, his brothers, and his uncle founded in April 2012.  Morvillo advises clients on criminal law, securities, regulatory, civil, administrative and corporate governance issues.  Most recently, in what some have called a landmark ruling, Morvillo successfully represented Anthony Chiasson in his criminal insider trading trial and subsequent appeal, as well as in the SEC matter.  Chiasson, a former hedge fund manager recently had his conviction for insider trading violations, vacated by the U.S. Court of Appeals for the Second Circuit, with orders to dismiss the indictment with prejudice in United States v Newman. Morvillo earned a law degree from Fordham University School of Law, a master of fine arts degree from Brandeis University, and a bachelor's degree from Gettysburg College.

Primary Areas of Practice: White Collar Criminal

Law School: Fordham University School of Law

Work History: Swidler Berlin Sherref Friedman,

2000-01, Movillo Abramowitz, 2001-2012, Morvillo LLP 2012-present


James Johnson is a litigation partner who focuses his practice on white collar criminal defense, internal investigations, corporate compliance and corporate crisis management in connection with internal investigations. Mr. Johnson is recognized as a leading lawyer in white collar criminal defense and is commended in The Legal 500 US (2007) for his ‘calm and methodical demeanor’ as well as his ‘clear sense of high ethics and morals’.

Most recently, Mr. Johnson was lead enforcement counsel for the team representing Toyota Motor Corporation and Toyota Motor Sales USA in connection with investigations into reports that drivers of certain models were experiencing unintended acceleration. The team resolved investigations being conducted by the U.S. Attorney’s Office for the Southern District of New York and the attorneys general for 29 states and American Samoa.

Mr. Johnson has the distinction of having held several senior positions in the United States Department of the Treasury, including Under Secretary of the Treasury for Enforcement (1998-2000) and Assistant Secretary of the Treasury for Enforcement (1996-1998). He oversaw the operations of the Bureau of Alcohol, Tobacco & Firearms, the Secret Service, the United States Customs Service, the Federal Law Enforcement Training Center, the Financial Crimes Enforcement Network and the Office of Foreign Assets Control. In total, Mr. Johnson oversaw approximately 29,000 employees and shared oversight of an operating budget exceeding $4.2 billion. Mr. Johnson also served as an Assistant U.S. Attorney for the Southern District of New York (1990-1996), where he rose to Deputy Chief of the Criminal Division (1993-1996). During his tenure in the Southern District, he assisted in the management of the Criminal Division while prosecuting a wide variety of criminal cases, and was detailed to the United States Department of the Treasury to serve on the White House Security Review.

Since returning to private practice, Mr. Johnson has represented individuals, audit committees and corporations in connection with a wide variety of regulatory, enforcement and Congressional matters, and has taken on several high profile public projects. He now serves as Monitor in U.S. ex rel. Anti-Discrimination Center of NY v. Westchester County. He also led Governor Corzine’s Advisory Committee on Police Standards.

Mr. Johnson has received numerous awards for his service and accomplishments in both private practice and public service. He is the recipient of the Alexander Hamilton Award (the Department of Treasury’s highest award, given to officials for excellence in service) and the Attorney General’s Certificate for Excellence in Prosecution. Mr. Johnson was recently elected as a member of the Harvard College Board of Overseers. He is former Chair of the Board of the Brennan Center for Justice and is also a trustee of the Montclair Art Museum.


Katherine Goldstein is a partner in the New York office of Milbank, Tweed, Hadley & McCloy and a member of the firm’s Litigation & Arbitration Group.

Primary Focus & Experience

Ms. Goldstein is the former Chief of the Securities and Commodities Fraud Task Force at the United States Attorney’s Office. She joined the US Attorney’s Office in 2004, where she prosecuted a wide range of securities fraud cases, among others, and was promoted to Chief of the Securities and Commodities Fraud Task Force in 2015 after serving as Deputy Chief for one year, and before that Co-Chief of the General Crimes Unit for two years.

During her nearly three years as a chief, Ms. Goldstein supervised a team of approximately 20 senior prosecutors and all aspects of the unit’s work from investigation through prosecution, including a broad array of cases involving accounting and disclosure fraud, insider trading, market manipulation, mismarking of complex products, corporate fraud, and fraudulent investor schemes, among others. Notable prosecutions brought under her leadership include: a professional gambler charged with trading on inside information obtained from a board member of a publicly traded company; corporate executives charged with honest services fraud; a hedge fund portfolio manager charged with trading on inside information obtained from a political consultant; a hedge fund portfolio manager charged with the mismarking of illiquid fund assets; and senior executives charged with a multi-year accounting fraud scheme at a publicly traded digital media company, as well as the market manipulation of the company’s stock and investment advisor fraud. She also supervised the unit’s trials and appeals.

As an Assistant US Attorney, Ms. Goldstein was an accomplished trial lawyer and argued numerous appeals in the Second Circuit. Among the high-profile cases she tried were U.S. v. Mandell, et al. (a $100-million market manipulation and investor fraud, which resulted in a 12-year sentence) and U.S. v. Ebbers (public company accounting fraud by the CEO of WorldCom, which resulted in a 25-year sentence). As Chief of the General Crimes Unit, she supervised the office’s new Assistant US Attorneys, numerous investigations and dozens of trials.

Before becoming a prosecutor, Ms. Goldstein was an associate at a major national law firm.

Recognition & Accomplishments

Ms. Goldstein received her B.A. degree magna cum laude, in political science, from Duke University. She received her J.D. degree cum laude, from Harvard Law School, where she was Co-Chair of the Harvard Law Review’s Supreme Court Issue. From 2000 to 2001, Ms. Goldstein served as a law clerk to the Honorable Karen Nelson Moore in the United States Court of Appeals for the Sixth Circuit.


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).


Lee S. Richards III is a founding partner of Richards Kibbe & Orbe LLP. He concentrates in white collar criminal defense, securities enforcement defense, regulatory proceedings, internal investigations, and complex commercial litigations. He has extensive trial experience and regularly represents investment banks, hedge funds, public companies, investment advisers, corporate officers and directors, and other professionals in investigations and proceedings by the DOJ, SEC, FINRA, and other governmental entities and SROs. He also represents companies and senior executives in commercial litigations, class action and derivative cases, and arbitrations relating to a variety of disputes.

In addition, Mr. Richards advises companies and directors on governance issues and has served as SEC Special Compliance Counsel, Receiver and Trustee in the liquidation of five securities firms, including Bernard L. Madoff Investment Securities LLC, Westgate Capital Management, LLC, and three major insider trading cases. He was appointed as the Independent Examiner in United States v. Computer Associates International, Inc. 

Mr. Richards served for 15 years as an Adjunct Assistant Professor at Fordham Law School. He is President Emeritus of the Federal Bar Council Inn of Court, and a former member of the American Inns of Court Board of Trustees. In addition, he is a regular speaker and writer on topics relating to criminal and securities law issues, internal investigations, corporate governance and compliance procedures. He is also a member of the American Jazz Foundation's Board of Directors.

He was recognized by Conde Nast’s Portfolio.com as one of the top ten white collar lawyers in New York. Chambers USA has ranked Mr. Richards as a leading individual in Litigation – White Collar & Government Investigations for seven consecutive years. He was also ranked as a leading individual in Securities Regulation - Enforcement by Chambers USA annually from 2011 to 2014. Mr. Richards has also been identified as one of the nation's "Leading Lawyers" by The Legal 500 and as a “Super Lawyer” by Law & Politics Media, Inc. In addition, The Best Lawyers in America® has named him on both the Best Lawyers in New York and the Best Lawyers in America lists.

From 1977 to 1983, Mr. Richards was an Assistant United States Attorney for the Southern District of New York, where he handled major prosecutions of insider trading and securities fraud. He is a recipient of Department of Justice’s Award for Superior Performance.

Mr. Richards earned his JD from Columbia University and his BA summa cum laude from Amherst College. Mr. Richards was a clerk for the Honorable Milton Pollack, United States District Court in the Southern District of New York from 1975 to 1976.


MaryJeanette Dee is a partner in the Government Contracts, Investigations and International Trade Practice Group in the firm’s New York office. She is the Co-Team Leader of the Securities Enforcement Team and a member of the firm’s Executive Committee.

MaryJeanette concentrates in internal investigations and regulatory and white collar criminal defense. Ms. Dee frequently represents banks, broker-dealers, investment advisers, corporate officers, financial advisors and other securities professionals in connection with domestic and cross-border investigations and inquiries by U.S. Attorney’s Offices for the Southern and Eastern Districts of New York, the SEC, the CFTC, FINRA, the NY Attorney General’s Office, the FRB, the NY Department of Financial Services and other governmental entities and self-regulatory organizations. She has conducted numerous internal investigations into a wide variety of allegations, including insider trading, trading and position valuation issues, misuse of confidential information, embezzlement, money laundering and BSA/AML issues, sanctions compliance and retail brokerage sales practice violations.



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.


Mylan L. Denerstein is a partner in the New York office of Gibson, Dunn & Crutcher.   She is a member of the Gibson Dunn’s White Collar Defense and Investigations, Securities Litigation, Appellate and Crisis Management Practice Groups.   Prior to joining the Gibson Dunn, Ms. Denerstein served as Counsel to New York State Governor Andrew Cuomo since 2011.  In this role she acted as the Governor’s chief counsel and principal legal advisor.

From 2007 to 2010 during the administration of then-Attorney General Cuomo, she served as the Executive Deputy Attorney General for Social Justice and managed approximately 100 attorneys statewide working in the areas of charities, civil rights, environmental protection, health care, labor and tobacco compliance.  From 2003 to 2007, she served as Deputy Commissioner for Legal Affairs for the New York City Fire Department.  From 1996 to 2003, Ms. Denerstein served as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, first as Assistant U.S. Attorney, prosecuting complex securities, insurance fraud, money laundering and organized crime cases, and then as Deputy Chief of the Criminal Division, where she assisted in managing over 100 Assistant U.S. Attorneys.

Ms. Denerstein serves as a board member of the Vera Institute of Justice.

Ms. Denerstein graduated in 1993 from Columbia Law School, where she was named a Charles Evans Hughes Fellow for outstanding commitment to public service and was a recipient of the Jane Marks Murphy Prize for exceptional proficiency and advocacy in clinics.


Primary Areas of Practice: Accounting Liability, Anti-Corruption and FCPA, Crisis Management for Corporate Boards and Officers, Cybersecurity and Data Privacy, Economic Sanctions, National Security, Health Care and Life Sciences Litigation, Internal Investigations, Litigation, Professional Liability, Regulatory Enforcement and Investigations, and White Collar Criminal Defense

 

Law School/Graduate School: University of Pittsburgh School of Law

 

Work History: Partner, Davis Polk;  Assistant U.S. Attorney, U.S. Attorney’s Office Southern District of New York;  Associate, Davis Polk;  Law Clerk, Hon. Denis R. Hurley, U.S. District Court Eastern District of New York

 

Professional Memberships: American Bar Association, Federal Bar Council, New York City Bar Association


Sheldon Goldfarb, recently retired as General Counsel of RBS Americas and a member of RBS senior management in the US. While at RBS he provided strategic leadership to the management of legal risk and managed an integrated legal function of over 70 lawyers. Prior to that, Mr. Goldfarb was managing director and general counsel of RBS Greenwich Capital, a position he had held since 1994. There he led it’s Legal, Compliance, Corporate Communications and Government relations functions. Before joining RBS Greenwich Capital, he was vice president and deputy general counsel of Goldman Sachs & Co. and a partner in the law firm of Fulbright & Jaworski (formerly Reavis & McGrath). He began his career in the Division of Enforcement of the Securities and Exchange Commission. Mr. Goldfarb is active in a variety of industry groups and is a frequent speaker at industry-wide conferences. He sat on the Managing Board of The Clearing House Association and was a trustee and member of the Executive Committee of the Institute for International Bankers; is past chairman of the Securities Industry and Financial Markets Association’s (SIFMA) General Counsels Committee; and served on the executive committee and as treasurer of SIFMA's Compliance and Legal Division. He is a member of the Board of Trustees of the Binghamton University Foundation, a past president of the SEC Alumni Association and was a member of the Board of Trustees of the SEC Historical Society. He earned his BA from Binghamton University and a JD cum laude from Syracuse University College of Law. 

 


Steven Peikin is Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white-collar criminal defense, regulatory enforcement, and internal investigations.  He has represented institutions and their senior executives in numerous high-profile matters.  Steve has tried more than 20 criminal jury cases in federal court and argued many appeals before the U.S. Court of Appeals for the Second Circuit.

From 1996 to 2004, Steve was as an Assistant U.S. Attorney in the Southern District of New York, where he served as Chief of the Office’s Securities Fraud Unit.

Steve is also Adjunct Professor of Law at New York University Law School, where he teaches the criminal enforcement of the securities and commodities laws.

Steve is a magna cum laude graduate of both Yale College and Harvard Law School and clerked on the Second Circuit and in the Southern District of New York.


Susan Merrill is a Partner at Sidley Austin LLP. Susan assists broker-dealers, investment advisers, financial institutions, exchanges and Fortune 500 companies across the U.S. in investigations before the SEC, CFTC, FINRA, and state securities regulators. Susan also conducts internal investigations and advises clients on regulatory compliance matters.

Susan is the former head of enforcement at FINRA, where she oversaw the establishment and development of its enforcement program. She joined FINRA from her position as enforcement chief at NYSE Regulation when it merged with the NASD in 2007. Before she became a regulator, Susan was in private practice for 17 years and represented clients in some of the highest-profile matters on Wall Street.

Susan has been acknowledged as a leading lawyer by Chambers USA, The Best Lawyers in America and Legal 500 US. She is a graduate of Brooklyn Law School and received her B.A. from the University of Maryland.


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. Avakian is the Acting Director of the U.S. Securities and Exchange Commission’s Division of Enforcement, which has nearly 1,700 people throughout the country focused on enforcing and supporting enforcement of the federal securities laws.  From June 2014 to January 2017, she served as Deputy Director of the Division of Enforcement.

Prior to her appointment as Deputy Director, Ms. Avakian was a partner at Wilmer Cutler Pickering Hale and Dorr LLP, where she served as a vice chair of the firm’s securities department.  Ms. Avakian represented public companies, financial institutions, boards, and individuals in a broad range of investigations and other matters before the SEC and other agencies.

Ms. Avakian previously worked in the SEC’s Division of Enforcement as a branch chief in the New York Regional Office and as counsel to former SEC Commissioner Paul Carey.


Peter Romatowski oversees the Firm's Securities Litigation & SEC Enforcement Practice and also practices white-collar criminal defense.

Peter represents U.S. public companies and foreign issuers, their directors, board committees, and executives, as well as broker/dealers, private investment firms, and law firms, in regulatory and criminal investigations of the full range of  securities law issues. These engagements involve accounting and financial statement issues, disclosure matters, securitization of subprime mortgage   assets, faulty earnings guidance, Foreign Corrupt Practices Act payments, recordkeeping and controls matters, insider trading, Regulation FD issues, mutual fund trading practices, and broker/dealer supervision, trading, and sales practice issues.

In his criminal practice, Peter has represented corporate and individual clients from four continents before grand juries, courts, and committees of Congress concerning all manner of suspected violations. He has served as a monitor selected by a company and approved by the Department of Justice to oversee the company's compliance with a settlement of FCPA charges and as U.S. counsel to an FCPA monitor for a foreign issuer.

As a federal prosecutor in the Southern District of New York from 1979 to 1986 and Chief of the Securities and Commodities Fraud Unit, Peter tried cases involving insider trading based on stories that appeared in The Wall Street Journal, a successful manipulation that tripled the price of an NYSE-listed stock, and other offenses from narcotics to bank fraud. His defense experience includes jury acquittals on criminal charges of withholding pharmaceutical drug test results  from the FDA and alleged false statements to the USDA in connection with a major food recall.


EXPERIENCE HIGHLIGHTS

  • FCPA monitor appointed pursuant to DOJ settlement
  • Assistant Attorney General represented in terrorist surveillance and interrogation investigations
  • Bank represented in subprime mortgage and accounting investigation

AREAS OF FOCUS

  • Securities Litigation & SEC Enforcement
  • Corporate Criminal Investigations
  • Antitrust Criminal Investigations
  • Business and Tort Litigation (USA)
  • Life Sciences False Claims Act & Qui Tam Defense

HONORS & DISTINCTIONS

  • Fellow, American College of Trial Lawyers
  • Senior Lecturing Fellow, Duke University School of Law (2011-2012)
  • Listed in The Best Lawyers in America for 20 years
  • Chambers USA
  • The International Who's Who of Business Crime Lawyers

EDUCATION

  • Georgetown University (J.D. 1975)
  • Harvard University (A.B. cum laude in Government 1972)

BAR ADMISSIONS

  • New York and District of Columbia

GOVERNMENT SERVICE

  • Assistant U.S. Attorney, United States Attorney's Office, Southern District of New York (1979-1986)
  • Chief of the Securities and Commodities Fraud Unit (1984-1986)


Nancy Kestenbaum, a partner in New York, 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 complex civil litigation. Ms. Kestenbaum has extensive experience representing clients in the financial services, life sciences, energy, defense, consumer products and technology industries.

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.


Richard J. Morvillo, a partner in Morvillo’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, is a member of the firm's Securities Litigation, Enforcement & Regulation and Transactional & Securities Practices. He previously served on the firm's management committee. Mr. Winer 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. He 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. He has represented various securities broker-dealers in SEC and SRO investigations of sales practices, municipal securities business, equity, fixed income and financial futures trading, and back office compliance and related supervision. He has represented various broker-dealers in significant investigations of the NASDAQ market, municipal securities offerings, sales of derivatives, and financial reporting and net capital compliance.

Mr. Winer has been Peer Review Rated as AV® Preeminent™, the highest performance rating in Martindale-Hubbell's peer review rating system and has also been named a "Leading Lawyer" in Securities and Corporate Governance by the Legal Times. He was recently named to the BTI Client Service All-Star Team, who Corporate Counsel identified as providing outstanding client service. Mr. Winer has also been selected by his peers to be included in the Best Lawyers in America® since 2006. He was rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2010 and 2011, and one of the top regionally in the District of Columbia for 2007, 2008 and 2009. Mr. Winer was selected for inclusion in the Washington, D.C. Super Lawyers® lists from 2008 - 2011.

A former staff attorney and special counsel with the Securities and Exchange Commission's Division of Enforcement, Mr. Winer is a frequent speaker and has authored various publications on the defense of SEC investigations and topical issues under the federal securities laws (see list below).

Mr. Winer is a member of both the CCH Securities Regulation Advisory Board and Executive Council of the Federal Bar Association Securities Law Section. Mr. Winer's professional affiliations include membership in the American Bar Association (Broker-Dealer Subcommittee of the Securities Litigation Committee, Market Regulation Subcommittee of the Committee on Federal Regulation of Securities) and the Securities Industries and Financial Markets Association (Legal and Compliance Section).

Mr. Winer graduated from Wesleyan University (B.S., economics, with honors, 1971) and Boston University School of Law (J.D., 1974), where he was an editor of the Law Review. He is admitted to practice in the District of Columbia and in Massachusetts. Mr. Winer was a law clerk to Chief Justice Thomas H. Roberts of the Supreme Court of Rhode Island from 1974 to 1975.


Wayne M. Carlin is a litigation partner with Wachtell, Lipton, Rosen & Katz.  His practice is concentrated in the defense of regulatory, enforcement, white-collar criminal and complex civil litigation matters, as well as the conduct of internal investigations.  Mr. Carlin was previously Regional Director of the New York Regional Office of the United States Securities and Exchange Commission from 2000 to 2004.  He earlier served in a variety of positions on the SEC's enforcement staff from 1993 to 1997 and from 1999 to 2000.  From 1997 to 1999, Mr. Carlin was Head of Regulatory Affairs at Lazard Frères & Co.  Mr. Carlin was a member of the Task Force on the Role of Lawyers in Corporate Governance of the Association of the Bar of the City of New York, and previously served on the Securities Regulation Committee and the Financial Reporting Committee.  Mr. Carlin is a member of the Board of Directors of the Association of SEC Alumni, and of the Board of Advisors of the SEC Historical Society.