Jeffrey D. Clark is a partner in the Litigation Department of Willkie Farr & Gallagher LLP and is a member of the Compliance & Enforcement Practice Group in Washington.
Mr. Clark represents corporations and individuals in a wide variety of civil and criminal investigations and enforcement matters, including grand jury investigations and SEC enforcement actions. His practice includes conducting complex, worldwide internal corporate investigations and providing advice to corporate management and directors regarding enforcement matters. He also counsels companies on designing and implementing corporate compliance programs. Mr. Clark specializes in Foreign Corrupt Practices matters, and also has substantial expertise in other types of international business and white collar litigation.
Mr. Clark lectures frequently in the United States and abroad on corporate compliance and enforcement matters and on conducting internal investigations. He has served on the Board of Directors of TRACE International, a non-profit membership association of multinational companies dedicated to enhancing anti-bribery compliance, and as a Co-Chair of the International Anti-Corruption Committee of the ABA Section of International Law.
Mr. Clark was formerly a federal prosecutor with the United States Department of Justice. During his seven years as an Assistant U.S. Attorney in the District of New Jersey, Mr. Clark served as both the Deputy Chief of the Special Prosecutions Division and the Deputy Chief of the Criminal Division. In these capacities, he was responsible for overseeing all of the district’s prosecutions in the areas of public corruption, securities fraud, healthcare fraud, money laundering, immigration fraud, and terrorism.
He personally prosecuted a wide variety of white collar and public corruption cases, serving as lead trial counsel in numerous complex federal criminal trials. Among his noteworthy cases were a series of high-profile public corruption prosecutions in New Jersey in which more than ten individuals were convicted of extortion, bribery, fraud, and tax offenses. Additionally, he was involved in a post-9/11, international terrorism sting investigation, conducted in conjunction with Russian and British authorities, in which a British national was prosecuted for attempting to smuggle into the United States a surface-to-air missile for use in terrorist attacks against U.S. commercial aircraft.
Immediately after law school, Mr. Clark served as a law clerk to United States District Judge Maryanne Trump Barry in the District of New Jersey.
Mr. Clark is admitted to the Bars of the District of Columbia and New Jersey.
Mr. Clark received a J.D. summa cum laude from the Washington College of Law at American University in 1991, where he was an editor on the American University Law Review and a member of the Washington College of Law Honor Society. He received his B.S. in Business Administration from Bucknell University in 1986.
He has distinguished himself as an outstanding FCPA practitioner, . . . he has a terrific boardroom presence and a practical approach to dealing with issues and governments around the world." –Chambers Global 2015
Larry Urgenson is a co-leader of the firms' Global Anti-Corruption & FCPA practice. Larry is widely recognized as one of the preeminent FCPA authorities in the United States. He has represented corporate and individual clients in FCPA and anti-corruption matters worldwide for nearly four decades. As noted in Chambers, Larry is "a brilliant lawyer and a leading light at the FCPA Bar." (Chambers USA 2016). He "is highly esteemed for his FCPA practice, which includes advising on statutory compliance and corporate representation in government investigations" (USA 2015), is "known for his experience in high-stakes investigations" (USA 2013) and "offers incredible knowledge in the FCPA area . . . he has great judgment" (USA 2012). Clients praise Larry and state that, "There simply isn't a more client-sensitive strategist out there" (Chambers Global 2016).
Larry was named Benchmark Litigation Star in 2014, 2015, 2016 and 2017. He was also recognized nationally as one of 8 FCPA Masters at the first annual Main Justice Best FCPA Lawyers Client Service Awards in 2013. Additionally, he is a sought-after writer and speaker on white collar matters and is currently the Chairman of the Board of Editors of the Business Crimes Bulletin.
Prior to joining private practice, Larry held key leadership positions at the US Department of Justice (DOJ). As the DOJ's Acting Deputy Assistant Attorney General, he primarily supervised the Fraud Section, General Litigation and Legal Advice Section, and Office of Policy and Management Analysis. Additionally, he testified before various congressional committees regarding the Department's white collar crime initiatives. He also served as the DOJ's Chief of the Fraud Section for the Criminal Division, where he advised US Attorneys on white collar crime issues, supervised the prosecution of bank, securities, and defense procurement frauds, and oversaw the FCPA Unit and the Defense Procurement Fraud Unit. Earlier in his career, Larry served as a Chief Assistant US Attorney for the Eastern District of New York. Larry received the Attorney General's Award for Distinguished Service and the Edmund J. Randolph award for Outstanding Service.
Lucinda A. Low is a partner in the Washington, DC office of Steptoe & Johnson LLP, where she heads the firm's Chambers-ranked FCPA and anti-corruption practice and its Compliance, Investigations, Trade and Enforcement Department, and serves on the firm’s Executive Committee. Her practice focuses on the U.S. Foreign Corrupt Practices Act and other anti-corruption laws, as well as other international regulatory compliance issues for multinational businesses, as well as multijurisdictional regulatory and enforcement matters. Ms. Low has extensive experience in internal and government investigations, representing companies, Audit Committees and Board of Directors, and individuals in enforcement matters before the U.S. Department of Justice, Securities and Exchange Commission, and the World Bank and other international financial institutions and foreign authorities. Ms. Low's practice also includes compliance counselling and advice, representation in disputes between commercial parties and host governments, including disputes involving issues of fraud and corruption. She received a #1 Ranking, Chambers Global 2010-2017, International Trade: FCPA Experts. Ms. Low is listed in Best Lawyers in America 2012-2018, International Arbitration: Government and International Trade and Finance Law. Ms. Low is in Washington, DC Super Lawyers, International, 2014-2018.
Ms. Low is the Immediate Past President of the American Society of International Law, the Vice Chair of the Board of Directors of the Coalition for Integrity (formerly known as Transparency International-USA) and serves on its Executive Committee, and was the first woman to chair the ABA Section of International Law. She has received numerous awards for her work. Most recently, in 2017, she received the Outstanding Career award from the Global Investigations Review, which in 2015 named her to its “Women in Investigations: One Hundred Investigation Specialists from Around the World.”
Ms. Low was appointed in 2017 by the President of the World Bank to the Panel of Arbitrators of the International Centre for Settlement of Investment Disputes (ICSID); and in 2016 was appointed by President Obama to the ICSID Panel of Conciliators. She currently sits as President of two ICSID arbitration tribunals and is a member of an annulment committee in a third case. She also serves on the U.S. Secretary of State’s Advisory Committee on Public International Law. She also has significant experience as counsel in investor-state and commercial arbitration proceedings, and as an expert witness in disputes raising bribery and corruption and related issues.
Ms. Low was Editor-in-Chief of the UCLA Law Review in 1976-77. I addition to her J.D. from UCLA Law School, she holds a B.A. from Pomona College, where she designed an inter-disciplinary major in Latin American Studies and Economics. Ms. Low speaks Portuguese, Spanish and French, and has some knowledge of Russian, Italian and Japanese.
Asheesh Goel is a partner in the Government & Internal Investigations Group in the Chicago office of Kirkland & Ellis LLP. Asheesh focuses his practice on securities enforcement matters, including internal investigations, government investigations and enforcement actions. Over his career, Asheesh has developed substantial depth advising clients on the U.S. Foreign Corrupt Practices Act, the U.K. Bribery Act, and other related anti-corruption laws, financial statement and disclosure issues, insider trading and other securities enforcement issues.
As noted recently in Chambers & Partners USA, Asheesh “is recognized for his ‘very insightful’ experience in advising clients” and “has a brilliant mind for identifying issues and has a great ability to present those matters in a way that cuts the complexity down.” Chambers USA has further noted that he is “very thorough and strategic in the way he thinks with a very sharp and well-developed legal mind.” According to them, he has been “described by clients as ‘very experienced and like a guru on FCPA.’”
Chambers & Partners Global noted “peers are impressed with the strategic approach of Asheesh Goel,” “deep regulatory experience sees him regularly handling cross-border securities enforcement matters and FCPA issues” and that “[c]lients admire his knowledge of US law and regard him as a ‘fantastic lawyer, very commercial and practical.’” Chambers Global also said that Asheesh has “extensive experience with the [Indian] subcontinent” and is “great for anti-corruption in China and Latin America as well as India.”
Asheesh’s work has been featured in publications including the Wall Street Journal, the Financial Times and the Chicago Daily Law Bulletin.
Prior to joining Kirkland, Asheesh was the co-chair of Ropes & Gray’s global anti-corruption and international risks practice as well as the managing partner of Ropes & Gray’s Chicago office. Asheesh also held the position of branch chief with the Securities & Exchange Commission, Division of Enforcement, where he spearheaded numerous high-profile investigations and litigation involving financial statement and disclosure fraud, the Foreign Corrupt Practices Act, insider trading, investment advisory fraud and other potential violations of the securities laws. During his tenure at the SEC, Asheesh received three Special Act Awards for exemplary work on investigations and litigation.
BEATRICE M. SCHAFFRATH is an international legal and compliance executive experienced in cross-border operational, regulatory, and crisis-management issues and challenges – particularly those encountered in Asia. Recognized by various regional and global organizations for her work in anti-corruption, corporate compliance, investigation, dispute resolution, and environmental matters, she is also a regular commentator, presenter, guest-lecturer, and interviewee on these issues.
Until recently, Ms. Schaffrath was Shanghai-based Global Ethics & Compliance Counsel – China, with United Technologies Corporation (“UTC”), a US-headquartered global company active in the aerospace and building industries. In that role, she led, advised and assisted all of the UTC business units in the China region on legal, compliance, ethics, and enforcement matters. Prior to her work with UTC, she was a Beijing-based Partner with international law firm Baker & McKenzie.
Ms. Schaffrath is multi-cultural by birth, inter-disciplinary in mindset, and cross-functional in her collaborations. She received her undergraduate degree in political science from the University of Chicago, a Master’s degree in East Asian/China Studies from the University of Washington, and her law degree from the University of Pennsylvania. She is admitted to practice law in several jurisdictions in the U.S., and is a past Vice-Chair of the American Bar Association’s China Law Committee. She is fluent in Chinese (Mandarin), with some capacity in Hindi and German.
Cheryl Scarboro, formerly an Associate Director in the SEC’s Division of Enforcement and the first Chief of the SEC’s FCPA Unit, is a Partner in the Washington, D.C. office of Simpson Thacher & Bartlett LLP and a member of the Firm’s Government and Internal Investigations Practice. She represents corporations, financial institutions and individuals in government investigations and other regulatory enforcement proceedings. Cheryl handles sensitive internal investigations on behalf of management, boards, and special committees, and routinely counsels clients on compliance programs, SEC reporting, disclosure and corporate governance requirements.
Selected representations include:
She is recognized as one of the “25 Most Influential Women in Securities Law” by Law360, and is consistently listed in the “Top 250 Women in Litigation” by Benchmark Litigation where market commentators describe her “huge place in the FCPA world”; “She was the leader of the SEC in the FCPA field and brings a wealth of experience to the table.” Cheryl was also recently named to Savoy Magazine’s “2018 Most Influential Black Lawyers” list. In addition, Cheryl was named to the “Enforcement 40” by the Securities Enforcement Forum, she is consistently recommended by The Legal 500 in white collar, and was named a National and Washington, D.C. “Litigation Star” by Euromoney's Benchmark Litigation in white collar.
She earned her J.D. from Duke University School of Law in 1989 and her B.A. from University of Alabama in Huntsville in 1986.
Claudius Sokenu, a former senior counsel with the United States Securities and Exchange Commission, Division of Enforcement, is Deputy General Counsel, Global Head of Litigation, and Global Head of Compliance at Andeavor, a Fortune 100 energy company. Claudius oversees all of Andeavor’s litigation, internal and government investigations, regulatory compliance, and the ethics and compliance program.
Prior to joining Andeavor, Claudius was a litigation partner at Shearman & Sterling’s New York, Washington, DC, and London offices where his practice focused on representing multinational public and private companies, hedge funds, private equity firms, broker-dealers, investment banks, investment advisers, accounting firms, and their officers, directors, and employees in complex commercial litigations, securities enforcement actions and litigations, including class actions and FINRA arbitrations, white collar criminal defense, derivative actions, congressional investigations, internal investigations, and corporate crisis management. Claudius has extensive experience in handling delicate high-profile matters that require concurrent representation in the civil, criminal, and political spheres.
Claudius is widely recognized as a leading securities enforcement, white collar crime and Foreign Corrupt Practices Act (FCPA) practitioner. In nearly two decades in private practice, Claudius represented domestic and multinational companies and their employees in all aspects of FCPA internal investigations, enforcement actions, and compliance matters before the SEC, the United States Department of Justice (DOJ), the United Kingdom’s Serious Fraud Office, and other civil and criminal authorities in the United States and abroad. Claudius has represented Boards of Directors, Audit Committees, officers, senior management and employees of multinational companies in all anticorruption investigations in dozens of countries and on virtually every continent.
Earlier in his career, Claudius served in the Washington, DC office of the SEC in the Division of Enforcement, on the Honors Program, first as a Staff Attorney and later as Senior Counsel, where he was responsible for handling a broad range of the SEC’s domestic and international enforcement matters, including investigations involving accounting fraud, insider trading, initial public offerings, illicit payments under the FCPA, investment companies and investment advisers, market manipulation, and broker-dealer misconduct. Claudius was also a member of the Enforcement Division’s FCPA Working Group, which is now known as the FCPA Unit and the Financial Fraud Task Force.
Consistently ranked by Chambers USA and Chambers Global for his investigative, regulatory, and securities enforcement practice (2014, 2013, 2012, 2011), named a Litigation Star by Benchmark Litigation (2016, 2015), Latin Lawyer 250 for White-Collar Crime and Compliance (2013), named a rising star by Ethisphere in its national annual rankings of “Attorneys Who Matter” (2012), named a “Top Lawyer” by The Network Journal (2011), named by Main Justice as one of the Best FCPA Lawyers Outside the Beltway (2011), Diversity & The Bar’s “Leading Law Firm Rainmakers” (2010), and recognized by Securities Law 360 as one of its 10 under 40 (2007), Claudius has represented major companies and/or their officers and directors, including Bank of New York, Bank of America, CIBC World Markets, Northern Trust, Allianz SE, AIG, Cantor Fitzgerald, CVS Caremark, PepsiCo, GlaxoSmithKline, Ernst & Young, Avon Products, Arthur Andersen LLP, Amgen, Walmart, Bristol-Myers Squibb, KraftHeinz, Embraer, Cardinal Health, and TV Azteca before prosecutors and regulators in the United States and abroad and in federal and state courts on bet-the-farm matters.
Claudius was an Adjunct Professor of Law at Georgetown University Law Center in Washington, DC where he taught advanced level securities enforcement and litigation courses. He has lectured and published extensively on securities enforcement and litigation matters and has been quoted in the financial press on a variety of securities law issues. Claudius earned his LL.B (with Upper Class Honors) from London South Bank University, an LL.M in Corporate and Commercial Law from the London School of Economics and King’s College London, University of London, and an LL.M in Securities and Financial Regulation from Georgetown University Law Center.
David S. Krakoff is a Partner in the Washington, DC office of BuckleySandler LLP. Mr. Krakoff counsels corporations and corporate executives in all aspects of criminal and related civil and administrative matters.
With more than 30 years’ experience representing individual and corporate clients in high-stakes criminal and complex civil litigation and enforcement cases throughout the country, Mr. Krakoff’s experience spans a variety of SEC enforcement, grand jury, and trial matters, involving accounting fraud, securities, tax, foreign corrupt practices, public corruption, antitrust, healthcare, export control, False Claims Act, trade secrets and environmental matters. Mr. Krakoff’s experience includes federal and state trials, with primary trial responsibility in more than 50 cases. In 2009, he represented a former executive of W.R. Grace & Co. in a lengthy criminal trial in the District of Montana that ended in an acquittal of all charges. In 2011-12, he represented an individual in the FCPA Sting Case criminal trial in the District of Columbia that ended in a hung jury mistrial and the later dismissal of all charges by the Department of Justice. Mr. Krakoff represented the controller of Fannie Mae in parallel proceedings including an eight year securities class action that ended in summary judgment for the controller.
Prior to joining BuckleySandler, Mr. Krakoff was co-leader of the global litigation practice of an international law firm. In addition to his experience in private practice, Mr. Krakoff was an Assistant U.S. Attorney in the U.S. Attorney's Office for the District of Columbia for 10 years.
Mr. Krakoff is recognized as a leading Litigation lawyer by Chambers USA: America’s Leading Lawyers for Business (2006-2015). In their 2015 edition, Chambers described Mr. Krakoff as "extremely thoughtful and imaginative in developing investigation and trial strategy." He was also recognized in Legal 500 as a "great lawyer and great guy." Mr. Krakoff has also earned recognition from Best Lawyers in America (2006-2016), Super Lawyers (2007-2015), Washingtonian Magazine Top Lawyers (2007, 2013, 2015), Who's Who Legal (Business Crime Defence 2015; 2015 Compendium), International Who’s Who of Business Lawyers (2012-2013) and Business Crime Defense Lawyers (2012-2013), and Best Lawyers in Washington (2006-2013). In 2015 he was named a Law360 Trial Ace and a National Law Journal White Collar Trailblazer.
Mr. Krakoff received his J.D. from Antioch School of Law in 1975 and his A.B. from Dartmouth College in 1971.
Anti-Money Laundering & Economic and Trade Sanctions
Bank Director & Officer Defense
Complex Civil Litigation
Counseling & Compliance
False Claims Act & FIRREA
Foreign Corrupt Practices Act & Anti-Corruption
Securities Litigation, Enforcement & Regulatory
Whistleblower & Qui Tam
District of Columbia
U.S. District Court (DC)
U.S. Court of Appeals (5th and DC Circuits)
U.S. Supreme Court
Kara Novaco Brockmeyer
Kara Novaco Brockmeyer served as the Chief of the Foreign Corrupt Practices Act Unit of the SEC’s Enforcement Division. In that role, she oversaw nationwide investigations into violations of the anti-bribery and accounting provisions of the federal securities laws. Prior to becoming Chief of the FCPA Unit, Ms. Brockmeyer served as an assistant director in the division, where she was the co-head of the division’s Cross –Border Working Group, focused on accounting fraud by companies based overseas and supervised a broad range of SEC investigations, including investigations into FCPA violations, accounting fraud, market manipulation, public offerings, misconduct by regulated entities, and insider trading. She is the recipient of numerous awards, including the SEC’s Capital Markets Award and Supervisory Excellence Award. In 2012, she received the SEC’s Irving M. Pollack Award for her work on the 2011 joint SEC-DOJ Resource Guide to the U.S. Foreign Corrupt Practices Act, and in 2016, she received the SEC’s Meritorious Impact Award.
Before joining the SEC, Ms. Brockmeyer was in private practice with a large law firm in Chicago, primarily focused on securities and complex commercial litigation. She received her B.A. cum laude from Williams College and her J.D. magna cum laude from the University of Michigan Law School, where she was Note Editor of the Michigan Law Review.
Karen A. Popp is the Global Co-Leader of Sidley Austin’s White Collar Practice. Karen has an expansive practice representing companies and individuals in high-profile matters with legal, political and public relations components, such as corporate criminal defense, internal investigations, SEC Enforcement, Congressional investigations, OIG and State Attorney General actions, corporate compliance, and litigation. Chambers Global and Chambers USA recognize her as a leader in the practice area of FCPA/anti-corruption.
Karen represents corporate clients across a host of industries, as well as senior executives and government officials, including a U.S. Presidential Cabinet Member. She has been retained to lead confidential worldwide internal investigations and defend numerous clients in government investigations. Karen has extensive experience in FCPA and other anti-corruption matters and has represented clients in investigations in more than 70 countries around the world.
Karen also assists clients in designing and enhancing corporate compliance and ethics programs, and currently serves as outside counsel to several corporate compliance departments. She has conducted global compliance and risk assessments for numerous U.S. and non-U.S. companies. Karen helps companies to respond to internal allegations of wrongdoing, conducts training for Boards of Directors, management, compliance departments and other company personnel, and conducts compliance due diligence regarding corporate acquisitions, joint ventures and other business transactions.
Before joining Sidley, Karen served in the government as Associate White House Counsel to President Clinton, a lawyer in the Office of Legal Counsel at the U.S. Department of Justice, and Assistant U.S. Attorney in the Eastern District of New York. She began her career on Wall Street as a litigator at Sullivan & Cromwell after finishing a clerkship for the Honorable Sam J. Ervin III on the U.S. Court of Appeals for the Fourth Circuit.
In additional to Chambers, Karen has been recognized for her White Collar and FCPA practice in Legal 500 US, Benchmark Litigation Star, Global Investigation Review, Who’s Who in Business Crime Defense Lawyers, International Who’s Who of Investigations, The Best Lawyers in America, Washingtonian magazine “Top Lawyers” List, Top 250 Women in Litigation USA, Top 50 Women Lawyers in Washington, D.C., Ethisphere Attorneys Who Matter, Inside Counsel Magazine Leadership Award, and Super Lawyers magazine.
Kathryn Cameron Atkinson is the Chair of the International Department and a member of the firm’s Executive Committee. Her practice focuses on international corporate compliance, including, in particular, the Foreign Corrupt Practices Act (FCPA), as well as export controls and economic sanctions, and anti-money laundering laws. She advises clients on corruption issues around the world. This advice has included compliance with the FCPA and related laws and international treaties in a wide variety of contexts, including transactional counseling, formal opinions, internal investigations, enforcement actions by the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and resulting monitorships, as well as commercial litigation raising improper payment issues. Ms. Atkinson served as the government-appointed Independent Compliance Monitor for KBR, Inc. in an FCPA matter settled with the DOJ and SEC. She was a member of the original Transparency International task force that developed a compliance toolkit for small and medium-sized entities. She co-produced, with Homer E. Moyer, Jr., "Comply But Compete," a versatile, video-based FCPA training program.
On the compliance side of the practice, Ms. Atkinson focuses in particular on the design and implementation of custom-tailored international regulatory compliance programs for large and small companies in a wide range of industries. Her compliance practice includes performing compliance due diligence in mergers and acquisitions, designing and performing compliance audits and assessments, training company personnel and third parties, and working with companies to design tailored safeguards in complex business transactions and relationships with third parties.
Kelli McTaggart is Vice President, Associate General Counsel and Chief Ethics and Compliance Officer for Time Warner Inc. In her role, Ms. McTaggart serves as the senior company officer with responsibility for Time Warner’s global ethics and compliance program, covering 25,000+ domestic and international employees. She oversees internal investigations and provides advice and counsel to the company’s audit committee, senior management and business heads to help mitigate legal and regulatory risk to the company. During her tenure, Time Warner Inc. has been recognized as one of the World’s Most Ethical Companies by Ethisphere Institute seven of the last eight years.
Prior to joining Time Warner in 2005, Ms. McTaggart was an attorney at WilmerHale in Washington D.C. where she represented individuals and companies in white collar criminal investigations and complex civil litigation. Ms. McTaggart began her legal career at Miller, Cassidy, Larroca & Lewin (now part of Baker Botts LLP) in Washington D.C., representing individuals and companies in criminal matters, congressional investigations and civil litigation matters. Ms. McTaggart also served as an Assistant Federal Public Defender in the District of Maryland, where she represented clients on a range of criminal matters, including fraud and financial crimes, drug and firearms offenses, and immigration matters.
Ms. McTaggart earned her undergraduate and law degrees from Georgetown University in Washington D.C. After law school, she clerked for the Hon. Frank Magill on the U.S. Court of Appeals for the Eighth Circuit. She is the former co-chair of the Washington D.C. Bar’s Steering Committee on Criminal Law and Individual Rights. She currently serves on the Board of Directors for Court Appointed Special Advocates (CASA) for the Children of D.C.
Kevin J. Rooney joined Cerberus Capital Management, L.P. as Senior Compliance Officer and Associate General Counsel in September 2008. Prior to joining Cerberus, Kevin was the Global Anti-Corruption Officer for American International Group, Inc. From 2006-2007, Kevin was the Global Head of Bank Anti-Corruption Compliance for Credit Suisse. Prior to joining Credit Suisse, Kevin served as Director and Senior Counsel in the Government & Regulatory Compliance Group at Merrill Lynch. From 2000 to 2003, Kevin was a litigation associate at the law firm of Condon & Forsyth in New York. From 1996 to 2000, Kevin served as an Assistant District Attorney in the Trial Division of the Manhattan District Attorney’s Office.
Kevin has served as a speaker or panel member at many conferences covering topics such as: Implementing an Effective Compliance Program; Ethics in Dealing With Public Officials and Public Clients; Effectively Implementing a Global FCPA Compliance Program; Conducting Effective Risk Assessments of Foreign Markets; China Matters - Strategies for Investing and Operating in the People’s Republic of China; Improper Payments: Gifts & Entertainment and Political Contributions; The U.S. Foreign Corrupt Practices Act and Global Anti-Corruption Laws; U.S. Foreign Corrupt Practices Act Compliance: Emerging FCPA Risks and Preventive Strategies.
Kevin obtained his B.A. in Economics from Fordham College in 1992 and his J.D. from Fordham Law School in 1996. From 2005 to 2011, he served as an Adjunct Assistant Professor at Fordham University’s Graduate School of Business and College of Business Administration.
Matthew C. Solomon is the Chief Litigation Counsel at the Securities and Exchange Commission. Mr. Solomon manages the litigation of all securities enforcement actions in both federal courts and administrative proceedings by the headquarters trial unit of 40 attorneys, and coordinates enforcement litigation conducted by approximately 100 attorneys in the Commission’s eleven regional offices. Mr. Solomon also participates in the process by which settled and litigated cases advance for Commission consideration, and regularly advises the Commission and the Director of Enforcement on critical legal and policy issues.
Mr. Solomon joined the SEC in 2012 as Deputy Chief Litigation Counsel, and assumed his current role in 2013. Before joining the SEC, Mr. Solomon held several positions at the U.S. Department of Justice, including as Fraud Unit Chief and as an Assistant U.S. Attorney in the United States Attorney’s Office for the District of Columbia. In these positions, Mr. Solomon prosecuted white collar crime, including bribery, mail and wire fraud, securities fraud, tax fraud, and Foreign Corrupt Practices Act violations. Before becoming an AUSA, Mr. Solomon served as Counsel to the Senate Judiciary Committee, and as a trial attorney in the Justice Department’s Public Integrity Section, where he tried several corruption cases to verdict in federal courts nationwide. He also served as a law clerk for Dennis Jacobs, of the United States Court of Appeals for the Second Circuit, and James Robertson, of the United States District Court for the District of Columbia.
Mr. Solomon received his B.A., magna cum laude, from Wesleyan University and his J.D., magna cum laude, from Georgetown University Law Center, where was an editor of the Georgetown Law Journal.
Nathan G. Bush (“Nate”) is a partner in the Litigation Department in O’Melveny's Singapore office. He was based in the Washington, D.C. office before relocating to Beijing in 2004, and Singapore in 2012. Nate’s practice focuses on regulatory matters, commercial disputes, and litigation concerning antitrust and competition, fraud and corruption, and international trade.
Nate received two of the highest rankings for Competition/Antitrust (International Firms) (China) and International Trade (International Firms) (China) by Chambers Asia 2011/2012 and Chambers Global 2011/2012. He is also recommended as a “Leading Lawyer” in the 2013 Edition of IFLR1000.
Antitrust & Competition. Nate counsels clients regarding merger notifications, compliance strategies, and enforcement risks under the competition regimes of China and other jurisdictions in Asia. He is experienced with matters arising under U.S. antitrust laws, including merger filings, litigation of civil antitrust claims, and price-fixing investigations.
Internal Investigations & Compliance. Nate conducts internal investigations and counsels clients on compliance with the U.S. Foreign Corrupt Practices Act and other anticorruption laws, securities fraud, anti-money laundering rules, and international sanctions. He has conducted over 30 internal investigations in diverse sectors involving Japan, China, Hong Kong, Singapore, India, Vietnam, and countries in Europe and South America. He routinely advises on compliance aspects of capital markets, M&A, private equity, and venture capital transactions in Asia.
Commercial Disputes. Nate represents clients in U.S. litigation involving Asia and advises on the resolution of disputes through arbitration and litigation throughout Asia.
International Trade & Market Access. Nate represents multinational companies before the U.S. and Chinese governments on matters involving China’s WTO accession commitments, trade remedies, and the WTO dispute settlement process.
He frequently publishes and speaks on competition and trade policy in Asia, and authored the China chapter of the ABA treatise on COMPETITION LAWS OUTSIDE THE UNITED STATES. He is active in the American Chamber of Commerce in China, serving as Legal Committee Chairman in 2008 and as General Counsel from 2009 through 2011
Law Clerk, The Honorable Leonie Brinkema, U.S. District Court, Eastern District of Virginia
Languages, Mandarin Chinese
Antitrust and Competition
Asia Antitrust and Competition China
Foreign Corrupt Practices Act Regulation of Cross-Border Trade and Investment
Trade Remedies and Trade Policy India
Regulatory and Government Affairs
Harvard Law School, J.D.: cum laude; Editor-in-Chief, Harvard Asia Quarterly; Submissions Committee, Harvard International Law Journal; Harvard Asia Law Society Executive Board
University of Virginia, B.A., Government and Foreign Affairs, East Asian Studies (Minor): Phi Beta Kappa
Neil Smith is a partner in the firm’s Boston office, where he is member of the Investigations, Enforcement and White collar practice group. His practice focuses on government investigations, securities enforcement, internal investigations, financial regulatory enforcement, and white collar defense. In particular, he has extensive experience conducting global investigations involving violations of the Foreign Corrupt Practices Act and other anti-corruption laws.
Mr. Smith represents corporations and individuals in a wide range of criminal and civil matters, including investigations conducted by the U.S. Department of Justice and Securities and Exchange Commission, and other federal and state criminal and civil regulatory authorities. His practice also involves counseling clients on best practices and risk mitigation strategies in securities regulation, anti-corruption policies, and FCPA compliance.
Prior to joining the firm, Mr. Smith served as senior counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (“SEC”) for more than six years, where he was a member of the SEC’s Foreign Corrupt Practices Act specialized unit. He is a recognized expert in FCPA enforcement and a frequent speaker at industry conferences. His experience includes extensive collaboration with U.S. and foreign criminal and regulatory authorities in complex, cross-border investigations. While at the SEC, Mr. Smith also had extensive experience investigating financial services firms and other companies for violations including securities fraud, investor misrepresentations, and marketing violations. In 2017, he was the recipient of the Ferdinand Pecora Award for tenacity, creativity and efficiency under difficult circumstances, and the Director of Enforcement Award for outstanding service in 2016.
Mr. Smith earned his J.D. summa cum laude from Boston College Law School and B.A. from Dartmouth College.
Nicolas Bourtin is a litigation partner and the Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white collar criminal defense and internal investigations, regulatory enforcement matters, and securities and complex civil litigation. He is one of the coordinators of S&C’s FCPA and Anti-Corruption practice group.
Mr. Bourtin has represented individuals, corporations and financial institutions in numerous high-profile matters involving accounting fraud, antitrust, FIRREA, the FCPA, insider trading, money laundering, mortgage orientation and servicing, OFAC sanctions, securities fraud, tax fraud, and trading. He has extensive experience representing financial institutions in parallel regulatory and criminal investigations and representing non-U.S. companies and individuals in connection with U.S. investigations.
Mr. Bourtin has conducted numerous jury trials and has argued frequently before the U.S. Court of Appeals for the Second Circuit.
He is frequently recognized as a leading practitioner in the area of white collar criminal defense.
Mr. Bourtin also serves, on a pro bono basis, on the Criminal Justice Act panel for the Eastern District of New York, representing indigent defendants in federal criminal proceedings.
Prior to joining S&C, Mr. Bourtin served for four years as an assistant U.S. attorney in the Eastern District of New York, where he was involved in investigations, prosecutions and trials involving fraud, corruption, money laundering and other white collar offenses.
In addition, Mr. Bourtin successfully prosecuted the bosses and senior leadership of three of the five New York City-based Italian mafia families for crimes such as murder, racketeering, extortion, loansharking and narcotics trafficking. In total, Mr. Bourtin convicted over 75 members and associates of La Cosa Nostra and was involved in several historic prosecutions, including the first death penalty-eligible murder indictments of Italian mafia bosses in modern history.
Mr. Bourtin also coordinated the Eastern District U.S. Attorney’s Office’s cooperation with the Italian government on matters involving organized crime and led several successful collaborative efforts with the Italian Ministry of Justice, National Antimafia Bureau, National Police, Carabinieri and Guardia di Finanza.
Peter Clark is senior counsel in the White Collar Defense and Investigation and Complex Litigation Practices, resident in the Washington D.C. office.
Prior to joining Cadwalader, Peter served as Deputy Chief of the Fraud Section of the Criminal Division of the Department of Justice, where he had previously held the position of Senior Litigation Counsel. Before his tenure at the DOJ, he was Special Counsel in the Division of Enforcement of the Securities and Exchange Commission, which he joined at the request of William Casey, then Chairman of the SEC.
Prior to his government service, Peter was with New York's Hall, Casey, Dickler & Howley, where he worked on securities, real estate, and tax litigation matters.
Among his many accomplishments, Peter has handled hundreds of voluntary disclosures of illicit corporate payments and securities enforcement matters both at the SEC and the DOJ, and successfully prosecuted the first transnational bribery cases brought by the Department. He played an important role in the enactment and subsequent amendments to the Foreign Corrupt Practices Act (FCPA), and was the Department's principal negotiator of the Organisation for Economic Co-operation and Development’s (OECD) anti-bribery convention and the Council of Europe Criminal Law Convention. He has worked closely with The World Bank and other international organizations in their implementation of anti-corruption compliance programs. Peter was a founder of the Justice Department's Securities and Commodities Fraud Working Group. As Deputy Chief of the Fraud Section, Peter was responsible for all of the Department's FCPA investigations and prosecutions, and for the FCPA Opinion Procedure.
Peter was presented with the 1998 Award for Outstanding Government Lawyer by the American Bar Association Section of International Law and Practice for his role in enforcing the FCPA and in negotiating the OECD Convention. Most recently, he was recognized as an “FCPA Master” by Main Justice for his record of achievement in anti-corruption defense work. Ethisphere Institute honored Peter in their 2012 Attorneys Who Matter Hall of Fame, Ethisphere's highest honor given to a practicing attorney, and named him a "Top Gun" lawyer in its 2011 Attorneys Who Matter. Peter was also recognized by Who's Who Legal's The International Who's Who of Business Crime Defence Lawyers in 2014 and 2012, and by Benchmark Litigation. Peter has been a member of the Advisory Committee on International Economic Policy of the U.S. Department of State. He is a member of the Board of Directors of Transparency International-USA.
Peter is a graduate of Brown University and the University of Pennsylvania Law School. He has lectured extensively before professional associations both domestically and internationally. He is admitted to practice in the District of Columbia and the State of New York.
Philip Urofsky is head of the global anti-corruption practice at Shearman & Sterling LLP, where he counsels Boards, companies, and individuals concerning government investigations, internal investigations, and compliance controls with respect to the Foreign Corrupt Practices Act, financial sanctions regulations, and other white collar laws and regulations. Formerly the lead FCPA trial attorney at the Department of Justice, he was responsible for many FCPA investigations and prosecutions, helped negotiate the Council of Europe and OECD Conventions and was designated as the U.S. expert for the OECD Working Group on Bribery’s peer review process, and was the principal drafter of the DOJ’s Federal Principles of Corporate Prosecution (the “Holder Memo”) (although he disclaims any responsibility for what the government did with it afterwards). Mr. Urofsky writes and speaks widely on topics related to the design and implementation of compliance programs and sanctions and anti-corruption enforcement trends and patterns.
Richard F. Albert is a principal of Morvillo Abramowitz Grand Iason & Anello, P.C. in New York, where he concentrates on white collar criminal and regulatory matters, and complex civil litigation and arbitration. He is co-author of the “White Collar Crime” column in the New York Law Journal, a regular contributor to The Insider Blog on Forbes.com, and a frequent speaker at legal seminars and conferences. Rich has been named a leading lawyer by Chambers USA: America's Leading Lawyers in the area of Litigation: White Collar Crime & Government Investigations.
In FCPA-related engagements, among other matters, Rich served as counsel to a court-appointed monitor, conducting a three-year independent monitorship of an oil and gas industry company that pleaded guilty to FCPA violations. The monitorship involved a detailed ongoing review of the company’s FCPA and anti-corruption compliance program, employee training, customs and logistics practices, third-party vendor relationships, financial controls and internal audit program.
Rich previously served as an Assistant United States Attorney in the Southern District of New York, where he now represents indigent defendants as a member of the Criminal Justice Act Panel. He was a law clerk to the Hon. Kimba M. Wood, and is a graduate of Harvard Law School and the Wharton School of the University of Pennsylvania.
Richard N. Dean is the Managing Partner of the Washington, D.C. office of the international law firm of Baker & McKenzie LLP.
Mr. Dean specializes in the U.S. Foreign Corrupt Practices Act (FCPA) and related legislation, including U.S. money laundering laws and their application to the activities of U.S. companies in emerging markets. He advises on the structuring of foreign investment transactions to comply with U.S. laws; supervises the conduct of internal investigations and audits to determine compliance with laws and regulations, including the Sarbanes-Oxley Act; and advises senior management and corporate audit committees on the consequences of such investigations and audits, including the development of appropriate defenses, disclosures, disciplinary actions and compliance policies. His practice includes representing multinational companies before the U.S. Department of Justice and the Securities and Exchange Commission in connection with FCPA and related matters.
Mr. Dean has conducted investigations into possible FCPA violations in a variety of high risk emerging markets, such as Russia, Ukraine and other CIS countries, West Africa, the Middle East, China, India, South America and Indonesia and has advised multinational companies on structuring transactions with distributors, dealers, joint venture partners and charitable institutions.
Richard S. Levick, Esq. is Chairman & CEO of LEVICK, representing countries and companies in the highest-stakes global communications matters – from the Wall Street crisis and the Gulf oil spill to Guantanamo Bay and the Catholic Church. LEVICK is the communications firm of choice for international companies with critical Western-facing communications and public affairs needs.
Mr. Levick was honored multiple times on the prestigious list of “The 100 Most Influential People in the Boardroom” and has been named to multiple professional Halls of Fame for lifetime achievement.
He is the co-author of four books including The Communicators: Leadership in the Age of Crisis and is a regular commentator on television and print.
Richard W. Grime is a litigation partner in the Washington office of Gibson, Dunn & Crutcher’s Washington, DC office and a member of the White Collar Defense and Investigations Practice Group and the Securities Enforcement Practice Group.
Mr. Grime’s practice focuses on representing companies and individuals in corruption, accounting fraud, and securities enforcement matters before the Securities and Exchange Commission and the Department of Justice. Mr. Grime also conducts internal investigations and counsels clients on compliance and corporate governance matters with a particular focus on corruption investigations.
Prior to joining Gibson Dunn, Richard spent over nine years in the Division of Enforcement at the Securities and Exchange Commission in Washington, DC. In his last four years at the Commission he was an Assistant Director. Mr. Grime is currently highly ranked in Chambers USA Nationwide FCPA and Chambers Global FCPA and was recently selected by his peers for inclusion in The Best Lawyers in America© 2016 in the field of Criminal Defense: White Collar. He is also a longstanding and frequent speaker to legal and industry practitioners particularly on anti-corruption and securities enforcement topics.
Mr. Grime received his law degree from Oxford University.
Susan Divers is a senior advisor to the Ethisphere Institute, a leading international think tank dedicated to advancing best practices in ethics.
Prior to joining Ethisphere in January 2015, Mrs. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance.
Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.
Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and the New York Stock Exchange Governance Group. She resides in Northern Virginia and is a frequent speaker on ethics and compliance topics. In her spare time, she mentors university students and shares insights on how to promote ethical behavior.
Susan Ringler joined Alcoa in June 2013 as Vice President and Chief Ethics & Compliance Officer. In this function, Sue leads Alcoa's global ethics and compliance programs and ensures alignment to Alcoa's Values as well as compliance with applicable regulations. She oversees Alcoa’s Anti-Corruption and Trade Compliance Programs.
Prior to joining Alcoa, she was a Deputy General Counsel at Xylem Inc., a global water technology company that was spun off from ITT Corporation in 2011. She is the former Sr. Counsel for International Compliance at ITT, where she where she created and implemented its first global anti-corruption program.
Earlier in her career, Sue served as General Counsel under Chairman Paul Volcker of the Independent Inquiry Committee investigating the United Nations Oil for Food Programme, a large international corruption investigation spanning six continents. She also investigated fraud and corruption in World Bank-financed projects, and worked on developing best practices for investigations. As part of her work with the American Bar Association's Central and East European Law Initiative, Sue developed and managed criminal justice reform assistance and training programs in Russia and the former Soviet Republics. From 1985-1998, Sue served as an Assistant U.S. Attorney with the U.S. Attorney’s Office for the District of Maryland, where she worked in the White Collar Fraud Group prosecuting complex federal fraud and corruption cases.
Sue earned a Juris Doctor Degree from Catholic University, Columbus School of Law, Washington, D.C., where she was a member of the Law Review. She obtained her bachelor's degree in Government from Franklin and Marshall College in Lancaster, PA.
Sue is a member of the board of directors of the CEELI Institute in the Czech Republic, a global institution dedicated to enhancing the rule of law by providing legal education to lawyers, judges, prosecutors and other reformers worldwide; a member of the Sanctions Board for the African Development Bank; serves on the American Conference Institute's Global Anti-Corruption Advisory Board; and is a member of the Franklin & Marshall College Leadership Council.
William B. Jacobson: Billy is a partner in the White Collar and Criminal Investigations group at Orrick, Herrington and Sutcliffe, LLP, based in Washington, D.C. From 2009 until July 2014, Billy was the Senior Vice President, Co-General Counsel and Chief Compliance Officer for Weatherford International, a large oilfield services company with operations in 100+ countries. Billy served as a federal prosecutor at the Fraud Section of the U.S. Department of Justice’s Criminal Division for approximately 6 years. His last stint at DOJ was as Assistant Chief for FCPA Enforcement where he was responsible for roughly half of all FCPA investigations and prosecutions. In this role, he also spent a considerable amount of time liaising with the SEC, FBI and foreign prosecutors, including attending meetings of the OECD Working Group on Bribery. Billy started his career prosecuting street crime in New York City.
Ms. Wang heads the firm’ s complex disputes and investigations in beijing. She focuses her practice on various kinds of dispute resolution matters, through commercial litigation, arbitration and negotiation. She also has substantial experience with cross- border investigations and compliance, particularly in connection with anti- corruption, state secrecy and data privacy protection, and fraud.
REPRESENTATIVE MATTERS AND CASES
Commercial Dispute Resolution
Ms. Wang used to work with a major international law firm and focuses her practice on various kinds of dispute resolution matters. She has extensive experience in successfully representing foreign corporations and their China entities in resolving their disputes through negotiations, arbitration or litigation. She also has substantial cross-border experience with investigations and compliance, particularly in connection with state secrecy and data privacy protection, anti-corruption and fraud. In particular, she has advised some of the most high- profile cases in China with respect to PRC information compliance.
Ms. Wang is a native Mandarin speaker and is fluent in English.
A partner in the Litigation Department, Mark Mendelsohn is co-chair of the Anti-Corruption & FCPA Group, and a member of the White Collar and Regulatory Defense, Internal Investigations, and Securities Litigation Practice Groups. Prior to joining Paul, Weiss, Mark served as the deputy chief of the Fraud Section of the Criminal Division of the United States Department of Justice (DOJ), and is internationally acknowledged and respected as the architect and key enforcement official of DOJ’s modern Foreign Corrupt Practices Act (FCPA) enforcement program.
Mark’s practice emphasizes white collar matters, internal corporate investigations, and compliance counseling. He regularly represents clients in FCPA and corruption-related internal investigations, designing and implementing compliance programs, transactional anti-corruption diligence, and responding to and defending against government investigations, prosecutions, and trials on behalf of both business entities and individuals.
As deputy chief of the Fraud Section from 2005 to 2010, Mark was responsible for overseeing all DOJ investigations and prosecutions under the FCPA, and for supervising a team of trial attorneys with respect to investigations and prosecutions of a wide variety of federal white collar crimes including money laundering, mail and wire fraud, procurement fraud, Arms Export Control Act and International Traffic in Arms Regulations (ITAR) violations, and violations of economic and trade sanctions laws and regulations, including with respect to the United Nations Oil for Food Program. During his tenure, Mark handled hundreds of voluntary disclosures of illicit corporate payments, worked closely with attorneys in the Division of Enforcement at the U.S. Securities and Exchange Commission, helped establish and worked closely with the Federal Bureau of Investigation’s FCPA squad at the Washington Field Office, negotiated numerous corporate plea, deferred and non-prosecution agreements on behalf of DOJ, and participated in the appointment of, interaction with, and reporting by more than 16 corporate compliance monitors. Mark led an effort to forge closer working relationships with foreign regulators in connection with transnational bribery cases, resulting in coordinated settlements with the Munich Public Prosecutor in Germany in the Siemens prosecutions and coordinated settlements with the U.K.’s Serious Fraud Office in the BAE and Innospec prosecutions, among others. Mark was also responsible for administering DOJ’s FCPA Opinion Release Procedure, including issuing the seminal opinion on FCPA transactional diligence and successor liability (Op. Rel. 08-02).
In addition to case-related responsibilities, Mark had significant policy responsibilities, including principal policy responsibilities related to the Organisation for Economic Co-operation and Development (OECD) Anti-bribery Convention. As a member of the U.S. delegation to the OECD Bribery Working Group, Mark served as a lead examiner for the follow-up review of Japan’s implementation of the OECD Anti-bribery Convention, played a key role in peer review of the United Kingdom including consultation regarding its Bribery Act of 2010, negotiated the 2009 Anti-Bribery Recommendation, and played a leading role in the drafting and adoption of the OECD’s “Good Practice Guidance on Internal Controls, Ethics and Compliance.”
During his tenure administering the DOJ’s FCPA enforcement program, the DOJ brought more than 50 prosecutions against corporations for violations of the FCPA and related offenses, resulting in more than $1.5 billion in criminal penalties. During that same period, DOJ brought approximately 80 prosecutions against individuals. Among the notable prosecutions were the following: U.S. v. Siemens AG, et al.; U.S. v. Kellogg Brown & Root, LLC and U.S. v. Albert “Jack” Stanley; U.S. v. Congressman William J. Jefferson; U.S. v. BAE Systems plc; U.S. v. Baker Hughes, et al.; U.S. v. Titan Corp.; U.S. v. Statoil ASA; U.S. v. Monsanto; Lucent Technologies, Inc.; U.S. v. Willbros Group, Inc., et al.; U.S. v. Christian Sapsizian, et al.; U.S. v. Viktor Kozeny and Frederick Bourke, Jr.; U.S. v. Gerald and Patricia Green; U.S. v. Innospec, Inc.; and U.S. v. Daimler AG.
Prior to joining the Fraud Section, Mark was senior counsel in the DOJ’s Computer Crime and Intellectual Property Section in Washington, D.C., and prior to that served for nearly six years as an assistant U.S. attorney in the U.S. Attorney’s Office in the Southern District of New York. During his service with the U.S. Attorney’s Office, Mark tried numerous cases to verdict and argued several appeals before the United States Court of Appeals for the Second Circuit. As a federal prosecutor, Mark was a recipient of the Attorney General’s Award for Distinguished Service for the “Investigation into Corrupt Payments by Siemens AG,” and a recipient of the Assistant Attorney General’s Award for “The Safeguarding and Maintenance of Confidence in the American Marketplace.” Mark has been recognized by Ethisphere Institute in 2011 as a “Top Gun” among “Attorneys Who Matter,” in 2009 as a “Government Star” among “Attorneys Who Matter In Corporate Compliance,” and in 2007 and 2008 as one of the “100 Most Influential People in Business Ethics.” Mark has been selected to Lawdragon “500 Leading Lawyers in America” numerous times. Mark is also ranked by Chambers for his work as an FCPA practitioner.
Mark has spoken frequently as a faculty member, panelist and keynote speaker at numerous FCPA, anti-corruption, corporate compliance, securities fraud, money laundering, and white collar crime programs and conferences. He teaches International Criminal Law as a visiting professor at the University of Virginia School of Law and has also been an adjunct lecturer-in-law at Columbia Law School. Mark is member of the Edward Bennett Williams Inn of Court and a member of the Board of Directors of Transparency International-USA.
As co-chair of Davis Polk’s Global Enforcement and Investigations Group, Angela Burgess’s practice focuses on representing companies as well as individuals in matters involving allegations of violations of anti-bribery laws, insider trading, money laundering, criminal tax fraud, antitrust, fraud and other financial crimes. She also routinely advises boards of directors, audit committees and companies on corporate governance and compliance matters, including designing strategies, policies and procedures to mitigate risk.
Ms. Burgess has built a reputation for representing companies in connection with some of the largest SEC and DOJ FCPA investigations in recent years, including Telia Company AB and Siemens.
Many of Ms. Burgess’s most successful matters have not resulted in public charges, though, and therefore remain confidential.
Ms. Burgess also serves, on a pro bono basis, as Counsel to the NY State Justice Task Force.
Ms. Burgess received her J.D., cum laude, from Harvard Law School and her B.A., summa cum laude, from Georgetown University.
Charles F. Connolly is an experienced trial attorney and investigator, whose practice focuses on representing companies and individuals in government and corporate investigations and related criminal and regulatory matters.
Mr. Connolly represents clients in wide variety of matters relating to federal and state criminal and regulatory enforcement, including federal and state securities laws, the Foreign Corrupt Practices Act (FCPA), Bank Secrecy Act (BSA) and Anti-Money Laundering (AML), , federal procurement, public corruption and U.S. sanctions regimes. He has significant experience investigating and trying complex financial fraud cases and leading internal investigations.
Prior to joining the firm, he served in the leadership offices of the Department of Justice as the acting deputy chief of staff and counselor to the Attorney General of the United States. In that position, Mr. Connolly advised the Attorney General on legal and policy issues involving criminal law enforcement, corporate fraud, public corruption, death penalty cases, and congressional oversight matters.
Immediately prior to joining the firm, Mr. Connolly served as chief of the Financial Crimes & Public Corruption Unit in the U.S. Attorney’s Office for the Eastern District of Virginia, where he prosecuted and investigated complex financial crimes, including corporate and securities fraud, TARP fraud, bank fraud, mail and wire fraud, FCPA, mortgage fraud, tax fraud, health care fraud, public corruption and other complex financial frauds. From 2002-2009, Mr. Connolly was an assistant U.S. attorney in the Eastern District of Virginia. He served as a lead prosecutor on one of the largest criminal cases arising out of the financial crises; the successful jury trial and conviction of the former Chairman and owner of what was once the largest private mortgage origination company in the country, in a $3 billion bank and securities fraud case. He also served as the lead prosecutor in a sixteen-week, four-defendant jury trial involving charges of accounting fraud, securities fraud, wire fraud and obstruction of justice.
Mr. Connolly has briefed and argued appeals in the U.S. Court of Appeals for the Fourth Circuit and has won appellate arguments involving corporate attorney-client privilege and securities fraud venue issues (In re Grand Jury Subpoena: Under Seal, 415 F.3d 333 (4th Cir. 2005); U.S. v. Johnson, 510 F.3d 521 (4th Cir. 2007)).
Before joining the government, Mr. Connolly spent seven years in private practice in the Washington, D.C. office of another international law firm as a white-collar criminal defense and securities enforcement attorney. Mr. Connolly served as editor-in-chief of the Journal of International Business Law at the University of Pennsylvania School of Law. He was also a member of the national moot court team.
serving as a lead prosecutor on $3 billion, bank and securities fraud jury trial, resulting in conviction of the owner and chairman of one of the largest mortgage origination companies in the country
Daniel P. Chung is of counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He is a former federal prosecutor and an experienced trial and appellate attorney. His practice focuses on white-collar criminal defense, internal investigations, corporate compliance and governance, regulatory enforcement, and litigation matters.
Mr. Chung’s representative engagements include:
From 2008 to 2012, Mr. Chung served as an Assistant United States Attorney in the Southern District of New York. He investigated and prosecuted a wide range of complex federal criminal cases, involving securities fraud, Ponzi schemes, bank fraud, mail fraud, wire fraud, health care fraud, insurance fraud, immigration fraud, money laundering, complex racketeering, murder, terrorism, and international drug cartels. In particular, as a member of the Organized Crime Unit, Mr. Chung led several large and complex racketeering investigations and prosecutions of the La Cosa Nostra Organized Crime Families, as well as Russian and Asian criminal organizations based in the United States and abroad. As an Assistant U.S. Attorney, Mr. Chung tried eight federal criminal jury trials to verdict, and briefed and argued numerous federal appeals before the Second Circuit. In 2012, he received the Federal Law Enforcement Foundation’s “Prosecutor of the Year” award.
Mr. Chung is a 2003 cum laude graduate of Harvard Law School, and a 2000 magna cum laude graduate of Harvard College, with a Bachelor of Arts degree in History. Following law school, Mr. Chung served as a law clerk for the Honorable Norman H. Stahl on the U.S. Court of Appeals for the First Circuit, and then for the Honorable Michael B. Mukasey on the U.S. District Court for the Southern District of New York. Mr. Chung is proficient in Korean and conversant in Japanese and German. He is admitted to practice in the state of New York and the District of Columbia, and before the U.S. District Courts for the Southern and Eastern Districts of New York and the United States Court of Appeals for the Second Circuit.
Matthew Queler is an Assistant Chief in the Fraud Section of the Department of Justice’s Criminal Division. He is a supervisor in the Fraud Section’s FCPA Unit, having re-joined the Department in August 2012. There he supervises and handles some of the most complex FCPA investigations being handled by the Department. Prior to that, Matthew was a Partner at Proskauer Rose, where, as part of the Corporate Defense & Investigations Group, his practice focused on corporate internal investigations, white collar criminal defense, and SEC enforcement actions.
While at Proskauer, Matthew developed extensive experience in FCPA matters, having conducted global FCPA internal investigations and defended clients in FCPA investigations by the DOJ and the SEC. He also regularly advised clients on a wide array of FCPA issues, and conducted FCPA policy and procedure reviews, FCPA compliance audits, pre-M&A FCPA due diligence, and FCPA training sessions for clients. Matthew previously served as the Co-Chair of the FCPA and Anti-Corruption Sub-Committee for the American Bar Association’s Business Law Section, White Collar Crime Committee.
Before joining Proskauer, Matthew served from 1998 to 2003 as an Assistant U.S. Attorney in the District of New Jersey, where he successfully prosecuted numerous cases involving federal criminal violations. As a federal prosecutor, Matthew also was an inaugural member of New Jersey’s Anti-Terrorism Task Force. Prior to that, Matthew clerked for the Honorable William G. Bassler (retired), U.S. District Judge, District of New Jersey. Matthew graduated magna cum laude and Phi Beta Kappa from Yale University, and cum laude from Harvard Law School.
With more than a dozen years of experience focused on white-collar cases, Charles Duross has overseen FCPA investigations relating to business in more than 50 countries around the world. His practice is focused on white-collar criminal matters, including internal corporate investigations, compliance counseling, due diligence regarding third parties and business transactions, and defense of clients before government enforcement agencies. In addition, as a veteran trial attorney, Chuck has a proven track record in the courtroom in high-profile, high-stakes trials.
As the former Deputy Chief in the Fraud Section in the Criminal Division of the U.S. Department of Justice, Chuck led the FCPA Unit and was in charge of all of the DOJ’s FCPA investigations, prosecutions and resolutions in the United States. In that role, Chuck was internationally recognized for developing and implementing the government’s FCPA enforcement strategy and was widely credited with developing the current enforcement regime. Under his leadership, the FCPA Unit resolved more than 40 corporate cases resulting in approximately $1.9 billion in monetary penalties, and secured convictions of more than two dozen business executives and money launderers.
Once dubbed “Mr. FCPA,” Chuck has been repeatedly recognized by the Ethisphere Institute’s “Attorneys Who Matter” list, including most recently as a “Top Gun” based upon his expertise and experience. He has also been recognized by Chambers USA, Law360, The Legal 500 US, the Washington Post and the Washington Business Journal for his work on FCPA matters.
Chuck is an adjunct professor at Georgetown University Law Center where he teaches trial advocacy, and he has been a guest lecturer on foreign corruption issues at Harvard Law School’s Program on the Legal Profession, the University of Michigan’s Law School and Ross School of Business, and Fordham Law’s Louis Stein Center for Law and Ethics.
Kimberly A. Parker is a partner at Wilmer Cutler Pickering Hale and Dorr in Washington. Ms. Parker co-leads the firm’s Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice. She has represented companies and individuals in a variety of FCPA enforcement matters, including defense company Armor Holdings in its July 2011 FCPA settlement involving conduct related to the United Nations, oil driller Helmerich & Payne in its July 2009 FCPA involving payments to customs officials in Argentina and Venezuela, and the Titan Corporation in its landmark 2005 FCPA case. She has conducted internal investigations in the United States, Asia, Africa, Europe, and Latin America. She regularly counsels clients on FCPA compliance, assists in developing and conducting FCPA training and compliance programs, and conducts anti-corruption due diligence and risk assessments. In addition to co-authoring several articles on the FCPA, Ms. Parker is a co-author, with Roger M. Witten, Jay Holtmeier, and Erin Sloane of the firm’s New York office, of a leading treatise in the field, Complying with the Foreign Corrupt Practices Act. Ms. Parker is ranked for FCPA work in Chambers USA: America's Leading Lawyers in Business.
Patricia M. Byrne (“Trish”) is the VP & Associate General Counsel for International Compliance at BAE Systems Inc. In addition to managing the International Trade Licensing and Trade Compliance teams, Trish’s work involves policy administration, training on FCPA and anticorruption laws, conducting due diligence on third party business partners, merger and acquisition FCPA diligence, and Offsets compliance. Trish joined BAE Systems Inc. as Counsel for International and Domestic Compliance in October 2008. Prior to joining BAE Systems Inc., Trish was a Counsel at WilmerHale, in Washington D.C. where her work focused primarily on FCPA investigations, and on reviewing, creating, and implementing anti-corruption compliance programs for multinational companies. Trish also has experience with general litigation and securities investigations. Trish received her JD from the University of California at Berkeley, Boalt Hall School of Law, and she graduated with a BA(Hons I)/LLB from the University of Otago, Dunedin, New Zealand.
Thomas J. Koffer is the Global Head of Anti-Corruption & Economic Sanctions Compliance at Credit Suisse, where he oversees Credit Suisse’s enterprise-wide compliance program addressing the U.S. Foreign Corrupt Practices Act, the UK Bribery Act 2010, and other similar anti-corruption laws. He also oversees compliance with economic and trade sanctions laws administered by the U.S. Office of Foreign Assets Control and other international regulators. Previously, Thomas served as counsel at Wilmer Cutler Pickering Hale & Dorr, and as a law clerk for judges on the U.S. Second Circuit Court of Appeals and the U.S. District Court for the Southern District of New York. Before earning a law degree, Thomas investigated political corruption matters at the New York County District Attorney’s Office. He also previously served with the U.S. Vice President’s Domestic Policy Office.
Gary F. Giampetruzzi is a partner in the Litigation Department of Paul Hastings, based in the firm’s New York office. Prior to joining Paul Hastings, Mr. Giampetruzzi most recently served as Vice President, Assistant General Counsel and Head of Government Investigations at Pfizer Inc, with responsibility for government investigations across the company’s multiple business units and operations globally, and associated government litigation with U.S. and international prosecutor offices. He was previously a Deputy Compliance Officer responsible for international compliance investigations and programs with responsibility for the implementation and maintenance of compliance programs and systems across the company's international operations, with an enhanced focus on emerging markets. He routinely advises clients on day-to-day compliance matters, and represents corporations in high-profile federal and state investigations, including those involving federal and state False Claims Act (qui tam suits), State Attorney General consumer protection statutes, the Foreign Corrupt Practices Act (“FCPA”), and oversees other complex civil and criminal litigation matters.
Mr. Giampetruzzi is highly regarded by counsel, healthcare industry insiders, and regulators for his strategic thinking and sound judgment in handling some of the most significant regulatory investigations in the pharmaceutical industry in recent years. He understands how to engage appropriately with the regulators, and how to litigate effectively when that should become necessary. He brings unique experience and perspective to each client representation, having himself been the client for more than a decade at one of the largest multi-national corporations in the world. During that time, he partnered closely with his business colleagues and various platform functions, and helped navigate a complex organization through some of the most significant compliance and enforcement issues faced in the pharmaceutical industry. As a senior leader, Mr. Giampetruzzi routinely operated at the executive leadership team and board levels, and understands from his firsthand experience that the particular needs of each client and circumstance are different, and that the approach and solutions must be too. Mr. Giampetruzzi genuinely appreciates the pressures and realities facing clients and in-house counsel, and works with them to understand and achieve their specific goals.
Mr. Giampetruzzi has extensive experience with all facets of the anti-corruption and FCPA landscape. He has been a leader in this growing area of practice for more than a decade, having led the development of cutting edge compliance programs and measures, conducted and overseen hundreds of internal investigations, and been on the ground in more than 40 markets worldwide (including Asia, Africa, Europe, the Middle East, and Latin America). He was instrumental in the development of proactive market review approaches that have been incorporated into recent government resolutions, and acquisition due diligence techniques that were cited in the Justice Department’s FCPA Guidance document. He has the proven and longstanding ability to provide end-to-end support, from front-end compliance counseling and program build-outs and enhancements, to the efficient conduct of global internal investigations, to the defense of companies before U.S. and international authorities, while keeping an appropriate eye towards the increasing risk of follow-on civil litigation.
Morgan Heyer is the Head of Anti-Bribery and Corruption Risk and Compliance for the Wholesale Division of Wells Fargo. In that role, Morgan oversees the development, coordination and implementation of the Wholesale Division’s Anti-Corruption Program. In addition, she provides advice and guidance regarding applicable anti-bribery and corruption laws and regulations to stakeholders within the Wholesale Division. Prior to this role, Morgan was the Global Head of Anti-Corruption Compliance for Morgan Stanley. Prior to joining Morgan Stanley, Morgan was the Deputy Global Head of Bank Anti-Corruption Compliance for Credit Suisse. Before joining the financial services industry, Morgan was a litigation associate at Condon & Forsyth, an aviation defense firm, and served as Deputy Defense Liaison Counsel in the September 11th Litigation. Morgan received her J.D. from Hofstra University School of Law.
Rob deButts is a Vice President in the Goldman, Sachs & Co. Financial Crime Compliance group, engaged principally on anti-bribery matters. He also has worked in the firm’s Business Intelligence Group. Prior to joining Goldman Sachs, he practiced law in the corporate, banking and business department at Fulbright & Jaworski L.L.P., most recently as senior counsel. Rob earned a B.A. in History from Yale University and a J.D. from the University of Virginia.