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The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015


Speaker(s): Angela T. Burgess, Asheesh Goel, Beatrice M. Schaffrath, Charles E. Duross, Charles F. Connolly, Cheryl J. Scarboro, Claudius O. Sokenu, Daniel P Chung, David S. Krakoff, Gary F. Giampetruzzi, Jeffrey D. Clark, Kara N. Brockmeyer, Karen A. Popp, Kathryn Cameron Atkinson, Kelli C. McTaggart, Kevin J. Rooney, Kimberly A. Parker, Laurence A. Urgenson, Lucinda A. Low, Mark F. Mendelsohn, Matthew C. Solomon, Matthew S. Queler, Melody Wang, Morgan Heyer, Nathan G. Bush, Neil T. Smith, Nicolas Bourtin, Patricia M. Byrne, Peter B. Clark, Philip Urofsky, Richard F. Albert, Richard N. Dean, Richard S. Levick, Esq. , Richard W. Grime, Robert E L deButts, Jr., Susan Frank Divers, Susan M. Ringler, Thomas J. Koffer, William B. Jacobson
Recorded on: May. 4, 2015
PLI Program #: 58814

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.


Asheesh Goel is the co-chair of Ropes & Gray’s award-winning global anti-corruption and international risks practice as well as the managing partner of Ropes & Gray’s Chicago office.

Asheesh focuses 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 auditor issues. As noted recently in Chambers & Partners USA, Asheesh “has a brilliant mind for identifying issues and has a great ability to present those matters in a way that cuts the complexity down,” and is “described by clients as ‘very experienced and like a guru on FCPA.’” Chambers & Partners Global notes that “peers are impressed with the strategic approach of Asheesh Goel of Ropes & Gray,” and his “deep regulatory experience sees him regularly handling cross-border securities enforcement matters and FCPA issues.”  Asheesh’s work has been featured recently in a variety of publications including the Wall Street Journal, the Financial Times and the Chicago Daily Law Bulletin. Recently, Asheesh has led the effort to create Ropes & Gray’s Anti-Corruption Risk Matrix, ranked as a “standout” product in the Financial Times Innovative Lawyers Report and featured in the ABA Journal.

Education

  • JD, magna cum laude, 1995, University of Illinois College of Law, University of Illinois Law Review, Associate Editor
  • BS (Finance), 1992, University of Illinois, Honors College, with Highest Distinction, University and College Honors

Bar Admissions

  • District of Columbia, 2007
  • Illinois, 1995

Courts

  • Supreme Court of the United States
  • U.S. Court of Appeals for the Seventh Circuit
  • U.S. Court of Appeals for the Eighth Circuit
  • U.S. District Court for the Northern District of Illinois


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.


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.

Practice Areas

Anti-Money Laundering & Economic and Trade Sanctions

Appellate

Bank Director & Officer Defense

Class Actions

Complex Civil Litigation

Counseling & Compliance

False Claims Act & FIRREA

Financial Crimes

Foreign Corrupt Practices Act & Anti-Corruption

Government Enforcement

Litigation

Securities Litigation, Enforcement & Regulatory

Troubled Banks

Whistleblower & Qui Tam

White Collar

Bar Admissions

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 the Sidley Austin’s White Collar: Government Litigation & Investigations group. 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 fields of White Collar and FCPA. Her practice is informed by a wealth of government and private sector experience, including service as a federal prosecutor in New York, a lawyer in the Office of Legal Counsel at the U.S. Department of Justice, and Associate White House Counsel to President Clinton.

Karen represents Sidley clients across a host of industries in a wide range of matters involving allegations of criminal, civil and ethical wrongdoing. Her clients range from major corporations to prominent business and political figures, including a U.S. Presidential Cabinet Member. She has been retained to lead dozens of confidential worldwide internal investigations and defend corporations and individuals in government investigations relating to alleged FCPA and OFAC violations, securities and financial fraud, accounting irregularities, environmental crimes, kickbacks, tax fraud, qui tams, misuse of corporate assets, false claims, antitrust and other bribery, corruption and fraud.

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 and joint ventures.

Repeatedly recognized for her work, the Legal 500 US notes that, “The ‘highly experienced and knowledgeable’ Karen Popp provides ‘expert and practical advice.’” Benchmark Litigation names Karen a Litigation Star (both nationally and in Washington, D.C.) for her White Collar practice. Global Investigation Review named Karen as one of the Top 100 Women in Investigations in the world. Washingtonian magazine has included Karen in its current roster of “Top Lawyers in Washington,” and she has been recognized yearly by The Best Lawyers in America in Criminal Defense: White-Collar and Commercial Litigation and has been named by Super Lawyers magazine as one of the Top 100 lawyers in Washington, a recognition based on a vote of peers. Karen has also been recognized by the International Who's Who of Business Crime Defence Lawyers and International Who's Who of Investigations. Karen was selected in 2015 as one of the Ethisphere Attorneys Who Matter for making a significant difference in the ethics and compliance fields through the private practice of law. She has been named for several years to the Top 250 Women in Litigation, a publication honoring the achievements of female lawyers in litigation practices in the United States. Super Lawyers magazine has named her one of the Top 50 Women Lawyers in Washington, D.C. The recipient of the “First Annual Transformative Leadership Award” given by InsideCounsel Magazine in 2010, Karen also was the 2006 recipient of the “Star of the Bar” award by the Women’s Bar Association of the District of Columbia. She received the Thurgood Marshall Award given by the New York City Bar Association.

Before joining Sidley, Karen served as Associate Counsel to the President of the United States, where she advised President Clinton and the White House staff on Congressional and grand jury investigations and domestic policy issues. She worked with Senior Administration officials at various federal agencies and Congressional members and staffs on the Administration’s policy initiatives.

Prior to joining the White House, Karen served in the Office of Legal Counsel at the U.S. Department of Justice where she advised Attorney General Janet Reno and the Department, the White House and other agencies of the Executive Branch on a wide range of legal matters. Before moving to Washington, D.C., Karen was an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Eastern District of New York, where she prosecuted RICO and other charges involving fraud, bribery, extortion, tax evasion, money laundering, obstruction of justice, witness tampering and perjury.

Karen was a commercial litigator at Sullivan & Cromwell in New York City for five years before joining the government. While on Wall Street, she represented corporations and investment banking firms in a wide range of litigation matters, including securities fraud and hostile corporate takeovers.

Karen is the Chair of the Chief Compliance Officers’ Forum. She also serves on the Executive Committee of the ABA Judicial Division (Lawyers Conference) and is the Chair of its Committee on the Relationship of the Executive, Legislative and Judicial Branches. Karen is the Co-Founder and Chair of the Women’s White Collar Defense Association and served as a member of the Planning Committee for the inaugural ABA Criminal Justice Section for the Global White Collar Crime Institute, which was held in Shanghai, China in 2015.

Karen graduated cum laude from the University of North Carolina School of Law, where she served as an editor on the North Carolina Law Review and was a member of the Order of the Coif. Upon graduation from law school, Karen clerked for the Honorable Sam J. Ervin III of the U.S. Court of Appeals for the Fourth Circuit. She received her undergraduate degree from the University of North Carolina at Charlotte, where she graduated cum laude, and thereafter studied law at Oxford University before attending UNC School of Law.


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.

PRACTICES

Anti-Money Laundering

Business and Human Rights

Export Controls & Economic Sanctions

FCPA & International Anti-Corruption

Global Compliance & Risk Management

Internal Investigations

White Collar Defense

EDUCATION

J.D., Cornell Law School, 1992

B.A., Johns Hopkins University, Departmental Honors, 1989


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

Professional Activities

Law Clerk, The Honorable Leonie Brinkema, U.S. District Court, Eastern District of Virginia
Languages, Mandarin Chinese

Professional Focus:
Antitrust and Competition 
Asia Antitrust and Competition China
Dispute Resolution
Foreign Corrupt Practices Act Regulation of Cross-Border Trade and Investment
Trade Remedies and Trade Policy India
Litigation
Regulatory and Government Affairs

Education:
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

Admitted:
Washington, D.C.


Neil Smith is Senior Counsel with the Securities and Exchange Commission's Division of Enforcement based in the SEC’s Boston Regional Office since 2010.  Since 2012, Neil has been a member of the SEC’s Foreign Corrupt Practices Act Unit.

As a member of the FCPA Unit, Neil specializes in investigations involving complex foreign bribery schemes and other securities violations.  Neil was the primary attorney on the SEC’s investigations involving Och-Ziff and JPMorgan, both of which resulted in enforcement actions in 2016.  He has also played significant roles in the SEC’s ongoing enforcement sweeps involving sovereign wealth funds and investment bank referral hiring practices.  In addition to his work in the FCPA Unit, Neil has worked on a number of enforcement actions involving issuer fraud and financial crisis-related conduct.  For his work in the FCPA Unit, in 2017 Neil received the Ferdinand Pecora Award, which is awarded to SEC Enforcement staff for extraordinary tenacity, creativity, and efficiency in enforcing the federal securities laws.

Prior to joining the SEC, Neil was an attorney in the Litigation Department of Goodwin Procter LLP where he represented clients in government investigations, intellectual property disputes, commercial litigation, and trade secrets matters.  He is a graduate of Boston College Law School, where he graduated with honors and was a member of the Boston College Law Review, and Dartmouth College.


Nicolas Bourtin is a litigation partner and a member 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.

Mr. Bourtin has represented individuals, corporations and financial institutions in numerous high-profile matters involving accounting fraud, antitrust, the FCPA, insider trading, money laundering, OFAC sanctions, securities fraud and tax fraud. 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.

Government Service

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. 

PRACTICES & CAPABILITIES

Litigation
Antitrust
Appellate
Bank Regulatory
Congressional Investigations
Criminal Defense & Investigations
FCPA & Anti-Corruption
International Trade & Investment/CFIUS
Securities
Financial Services
Consumer Financial
Services
Broker-Dealer
Financial Services Investigations & Litigation
AML & Sanctions Enforcement and Compliance

EDUCATION

1996, Columbia Law School, J.D.

1993, University of Notre Dame, B.A.

BAR ADMISSIONS

District of Columbia

New York


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, a partner in the firm’s Litigation Group, is a former federal prosecutor with extensive experience investigating and prosecuting criminal and civil violations of the FCPA, the money laundering and mail and wire fraud statutes, and economic sanctions laws and regulations.  He advises clients on conducting internal investigations, designing and implementing compliance programs, as well as conducting due diligence in mergers & acquisitions, joint ventures, securities offerings, and concerning retention of third parties.

Additionally, Mr. Urofsky has extensive experience responding to and defending against federal, state, and international criminal, civil, and administrative investigations, prosecutions, and trials on behalf of both business entities and individuals. 

Prior to joining the firm, Mr. Urofsky served as a law clerk to the Honorable James M. Sprouse of the U.S. Court of Appeals for the Fourth Circuit and in a number of trial and supervisory positions within the U.S. Department of Justice’s Criminal Division where he handled all aspects of criminal prosecutions, including investigations, trials, and appeals.  While at the DOJ, Mr. Urofsky served as Assistant Chief of the Fraud Section, with responsibility for supervising or participating in virtually every FCPA investigation and prosecution. 

Mr. Urofsky was also a member of the United States’ delegation to the OECD Working Group on Corruption and was designated by the US as an expert in anti-corruption law and compliance for the Group’s peer review process.  As a DOJ attorney, Mr. Urofsky was the primary drafter of the Department’s Principles of Federal Prosecution of Corporations and lectured widely on corporate compliance issues.

Education

University of Virginia, J.D., 1988
Virginia Law Review, Articles Review Board
Order of the Coif

University of Virginia, B.A., 1985, with Highest Distinction

Bar Admissions/Qualifications

United States Supreme Court

District of Columbia, Virginia

United States District Court for Eastern District of Virginia

United States Courts of Appeals for the First, Third, Fourth, Fifth, and Sixth Circuits

Professional Affiliations and Business Activities

  • Committee Co-Chair, ABA Section on International Law, Anti-Corruption Initiatives and Compliance Issues Committee (2005-2007)
  • Steering Committee and faculty member, ABA National Institute on the Foreign Corrupt Practices Act (2006-present)
  • Guest lecturer, William & Mary Mason School of Business (2002-present)
  • Faculty member, ACI National Conferences on the Foreign Corrupt Practices Act, PLI Corporate Compliance Seminar, PLI White Collar Enforcement Seminar, IBA Anti-Corruption Conference, C5 Anti-Corruption Conference (Frankfurt), ABA FCPA Institute, ABA Securities Enforcement Institute
  • Advisory Committee, BNA White Collar Crime Report


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, a global communications and public affairs firm that specializes in changing minds – representing countries and companies in the highest-stakes matters.

Mr. Levick is one of the industry’s most sought-after counselors and thought leaders. He has been named four times to the NACD’s list of “The 100 Most Influential People in the Boardroom,” has been named to multiple industry Halls of Fame, and is the co-author of four books. A regular commentator on television and major media, including regular appearances in Forbes and the Wall Street Journal, Mr. Levick is a powerful advocate for the ways in which every organization must think differently in the Digital Age.

LEVICK is a global communications and public affairs firm. When referring to Richard Levick it’s Levick, when referring to the firm it’s LEVICK.

BOOKS

• The Communicators: Leadership in the Age of Crisis
• Stop the Presses: The Crisis Litigation PR Desk Reference
• 365 Marketing Meditations
• Lessons for Absent Children


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.


PRACTICE AREAS

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

  • Lead counsel on advising various investment banks in a series of disputes in connection with their investments in China.Disputes related to joint venture disputes, fraud, misappropriation of assets, misrepresentations in IPO applications and post-acquisition warranty and indemnity claims.
  • Represented a leading investment bank in various disputes arising from toll road projects in China before CIETAC and several Chinese courts.Disputes were related to joint venture contracts, loan agreements, and financial fraud.
  • Advised a leading steel producer in a shareholder derivative lawsuit, and disputes arising from equity transfer and joint venture agreements. Disputes concerned allegations of misrepresentation, misappropriation of assets and fraudulent financial statements.

OTHER INFORMATION

Professional Background

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 of Paul, Weiss, Rifkind, Wharton & Garrison LLP, Mark F. Mendelsohn is co-chair of the Anti-Corruption & FCPA Group, a member of the firm’s White Collar and Regulatory Defense, and Securities Litigation Practice Groups. Prior to joining Paul, Weiss, Mr. Mendelsohn 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. He is widely known for dramatically increasing the level of sophistication of FCPA enforcement globally and for underscoring the importance of anti-corruption compliance. Prior to joining the Fraud Section, Mr. Mendelsohn 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 Southern District of New York.

EDUCATION

J.D., University of Virginia School of Law, 1993

B.A., Yale University, 1989

CLERKSHIP

Hon. Denny Chin, U.S. District Court, Southern District of New York

RECOGNITIONS

Chambers

Lawdragon “500 Leading Lawyers in America”

The Best Lawyers in America

Who’s Who Legal


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.

 Representative Matters

 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

  • serving as lead prosecutor on sixteen-week, four-defendant jury trial involving charges of accounting fraud, securities fraud, wire fraud and obstruction of justice
  • working with the Criminal Division on two of the ten largest FCPA Deferred Prosecution Agreement settlements
  • leading negotiations of $210 million deferred prosecution agreement with a Fortune 50 company
  • leading a 10-day internal investigation into potential money laundering and CTR violations at an offshore casino
  • representing a senior vice president of a major energy company in an investigation by U.S. Attorney’s office into potential fraud in contracting with Department of Defense.
  • representing an international company in a World Bank corruption investigation resulting in the investigation being closed without any actions against the company or any of its employees.
  • representing a casino in a FinCEN BSA/AML enforcement action.
  • leading an internal investigation for an international consulting firm intoallegations of potential kickbacks involving one of its employees.
  • representing a former employee of a major financial institution in a DOJ criminalinvestigation related to the origination and sale of mortgage-backed securities.


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: 

  • Defending a Fortune 500 pharmaceutical company in connection with an FCPA investigation by the DOJ and SEC.
  • Defended an officer of an offshore drilling company in an SEC enforcement action alleging improper payments in Nigeria.Settled the case on the eve of trial with no admission of liability and no monetary penalties, in what legal commentators called a “defeat” for the SEC and “significant victories for the individuals.”
  • Defending a sales manager of a U.S. software company in connection with a procurement fraud investigation by the U.S. Attorney’s Office for the Eastern District of Virginia and DHS-OIG.
  • Defending a former executive of a Fortune 500 cosmetics company in connection with an FCPA investigation by DOJ and SEC.
  • Representing a major financial institution in investigations of the foreign exchange market.
  • Serving as FCPA compliance counsel to a U.S. fuel and energy company.
  • Defending a Fortune 500 health care services provider in connection with a nationwide False Claims Act investigation by the DOJ, HHS-OIG, and various state Attorneys General relating to alleged fraud and quality of care issues.
  • Served on a global FCPA monitorship team supporting the Independent Compliance Monitor of a multi-national tobacco company

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.

 


Davis Polk litigation partner Angela T. Burgess has represented leading clients in some of the most high-profile and complex white collar and regulatory matters in recent years. Her global practice focuses on representing companies and individuals in matters involving allegations of insider trading, violations of anti-bribery laws, 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 the design of strategies, policies and procedures to mitigate risk.

Ms. Burgess played a lead role in representing Siemens AG in the resolution of what has been recognized as one of the largest SEC and DOJ FCPA investigations in history, coordinating the company's defense of multiple and simultaneous international investigations and leading the effort to assist the company in the creation of a state-of-the-art FCPA compliance program. She advised McGraw Hill Financial, Inc. and Standard & Poor’s Financial Services LLC in connection with landmark settlement agreements with the DOJ, SEC and the Attorneys General of 21 states and the District of Columbia to resolve several lawsuits concerning S&P’s ratings of residential mortgage-backed securities. She also represented Smith & Nephew in connection with a joint SEC and DOJ investigation into practices in the medical-device industry, where she negotiated a deferred-prosecution agreement with the first-ever hybrid corporate-compliance monitorship. She currently represents a number of clients in a variety of industries in internal investigations and joint SEC and DOJ anti-corruption investigations, some of which involve other international enforcement authorities and multilateral development banks. In addition, she has recently worked with several Fortune 500 companies, private equity firms, and industrial and mineral companies to revise their anti-corruption programs.

Her other significant criminal and regulatory enforcement representations have included one of the world’s largest mining companies in connection with a joint SEC and DOJ anti-corruption investigation; a global financial institution in connection with DOJ, IRS and foreign regulators’ inquiries into alleged assistance to U.S. taxpayers in evading U.S. taxes obligations; and a major financial institution in parallel investigations brought by the Manhattan District Attorney’s Office, the SEC, the NASD, the U.S. Congress and multiple banking regulators involving money-laundering and tax-shelter allegations. 

Ms. Burgess was named to Ethisphere’s 2014 list of “Attorneys Who Matter” and named the 2014 International Law Office Client Choice Award Winner in White Collar Crime for New York. She is recognized as a New York Litigation Star by Benchmark Litigation.


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.


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.

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.  While at the SEC, Mr. Grime supervised the filing of over 70 enforcement actions covering a wide range of the Commission’s activities including a series of FCPA cases including the first FCPA case involving SEC penalties for violations of a prior Commission order.

Richard is ranked as a nationwide "FCPA Expert" by Chambers USA 2011-2014 and Chambers Global 2012-2014.


With more than a dozen years of experience focused on white-collar cases, Chuck 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.


Cheryl Scarboro, Partner at Simpson Thacher & Bartlett LLP, was formerly the first Chief of the SEC’s FCPA Unit, represents corporations, financial institutions and individuals in SEC and other regulatory enforcement proceedings. Cheryl conducts internal investigations and counsels clients on FCPA compliance programs, SEC reporting, disclosure and corporate governance requirements. She was recognized as one the “25 Most Influential Women in Securities Law” by Law360,  is consistently listed in the “Top 250 Women in Litigation” by Benchmark Litigation, and was named to the “Enforcement 40” by the Securities Enforcement Forum. Cheryl is consistently recommended by The Legal 500 in white collar and was named a National “Litigation Star” by Benchmark Litigation. In addition, she is a member of the Board of Visitors of Duke University School of Law.


Claudius Sokenu, a former federal regulator with the Securities and Exchange Commission, is a partner in the firm’s Litigation Group where his practice focuses on representing financial institutions, public and private companies, accounting firms, and their Boards of Directors, Audit Committees, directors, officers, and employees in securities  enforcement actions and litigations, white collar criminal defense, derivative actions, internal investigations and crisis management, congressional investigations, and complex commercial litigations in state and federal courts. Claudius has extensive experience in handling delicate high-profile matters that require concurrent representation in the civil,  criminal,  and political spheres.

Earlier in his career, Claudius served in the Washington, DC office of the SEC’s Enforcement Division, on the Honors Program, first as a Staff Attorney and later as Senior Counsel, where he was responsible for handling a  broad range of 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. He was also a member of the Enforcement Division’s  FCPA Working Group, which is now known as the FCPA Unit.

Consistently ranked by Chambers USA and Chambers Global for his investigative, regulatory, and securities enforcement practice, named a Litigation Star by Benchmark Litigation (2015), 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), recognized by Securities Law 360 as one of its 10 under 40 (2007), and named by Main Justice as one of the Best FCPA Lawyers Outside the Beltway (2011), Claudius has represented major companies and/or their officers and directors, including Allianz SE, Bank of New York, CIBC World Markets, GlaxoSmithKline, Bank of America, Ernst & Young Global, Avon Products, CVS Caremark, Arthur Andersen LLP, Amgen, Walmart, Bristol-Myers Squibb, Kraft Foods, 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 Sokenu, a former federal regulator with the Securities and Exchange Commission, is a partner in the firm’s Litigation Group where his practice focuses on representing financial institutions, public and private companies, accounting firms, and their Boards of Directors, Audit Committees, directors, officers, and employees in securities  enforcement actions and litigations, white collar criminal defense, derivative actions, internal investigations and crisis management, congressional investigations, and complex commercial litigations in state and federal courts. Claudius has extensive experience in handling delicate high-profile matters that require concurrent representation in the civil,  criminal,  and political spheres.

Earlier in his career, Claudius served in the Washington, DC office of the SEC’s Enforcement Division, on the Honors Program, first as a Staff Attorney and later as Senior Counsel, where he was responsible for handling a  broad range of 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. He was also a member of the Enforcement Division’s  FCPA Working Group, which is now known as the FCPA Unit.

Consistently ranked by Chambers USA and Chambers Global for his investigative, regulatory, and securities enforcement practice, named a Litigation Star by Benchmark Litigation (2015), 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), recognized by Securities Law 360 as one of its 10 under 40 (2007), and named by Main Justice as one of the Best FCPA Lawyers Outside the Beltway (2011), Claudius has represented major companies and/or their officers and directors, including Allianz SE, Bank of New York, CIBC World Markets, GlaxoSmithKline, Bank of America, Ernst & Young Global, Avon Products, CVS Caremark, Arthur Andersen LLP, Amgen, Walmart, Bristol-Myers Squibb, Kraft Foods, 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.

Bar Admissions

New York

District  of Columbia

Education

Georgetown University Law Center, LLM in Securities  and Financial Regulation

London School of Economics  and King’s College London, University of London, LLM in Commercial  and Corporate Law

South Bank University, London, LLB, Upper Class  Honors


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.

Recent Representations

  • Mr. Giampetruzzi has also been a practice leader in the U.S. healthcare enforcement area, having been in the middle of some of the most significant cases to date.
  • Oversaw the negotiations, finalization of terms and preparations for the announcement of the landmark $2.3 billion civil and criminal, off-label promotion and kickback investigations with the Boston, Philadelphia, and other U.S. Attorney’s Offices, Main Justice, HHS OIG, and State Medicaid Fraud Control Units (largest criminal case in history at the time) and the $491 million civil and criminal, off-label promotion investigation with the Western District of Oklahoma U.S. Attorney’s Office, Main Justice, HHS OIG, and State Medicaid Fraud Control Units.
  • Oversaw the negotiation and resolution of the grand jury investigation into the promotion of the $10 billion in sales, drug Protonix by the Boston U.S. Attorney’s Office, achieving a novel, civil-only resolution entailing $55 million in disgorgement under the Food, Drug, & Cosmetics Act.
  • Oversaw internal investigations and associated voluntary disclosures under the FCPA for a pharmaceutical company involving numerous markets around the world to the U.S. Department of Justice and SEC, and certain foreign authorities, beginning in 2004, and concluding in 2012. Secured a full declination for the parent company, a deferred prosecution agreement for the relevant corporate subsidiary, no imposition of an independent monitor, and explicit government recognition of the company’s efforts.
  • Oversaw the acquisition due diligence, resultant internal investigations in numerous markets and associated voluntary disclosures to the U.S. Department of Justice and SEC, which resulted in a full declination for the parent company and subsidiaries, and a purely civil resolution.
  • Defended a pharmaceutical company against government inquiries and investigations by the Chinese Administration of Industry and Commerce (“AIC”) in Beijing, Shanghai and other cities and provinces across China.
  • Oversaw the defense and resolution of numerous whistleblower qui tam suits involving claims under the False Claims Act and related state statutes.
  • Oversaw the successful resolution of several individual State Attorney General and multi-state AG coalition matters, including the $33 million consumer protection settlement with a coalition of 44 states around the promotion of Geodon, and the $45 million consumer protection settlement with coalition of 34 states around the promotion of Zyvox and Lyrica.
Accolades and Recognitions

Mr. Giampetruzzi brings creative lawyering to bear on each of his client’s challenges, with some of the compliance approaches he developed having become a best practice (e.g., proactive FCPA market reviews, now routinely in government resolutions), and even being cited in the U.S. government’s FCPA guidance document (e.g., FCPA acquisition due diligence).

Speaking Engagements and Publications
  • Mr. Giampetruzzi is a frequent speaker at industry conferences on a variety of white collar defense topics, including global compliance programs, government investigations, state and federal U.S. healthcare enforcement, and the Foreign Corrupt Practices Act.
  • Program Faculty, Seton Hall Law School, U.S. Healthcare Compliance Program
Education

Saint John’s University School of Law, J.D., 1993


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 and Jay Holtmeier 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.


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. Her white collar practice focuses on the U.S. Foreign Corrupt Practices Act and other anti-corruption laws, as well as other laws and regulations, including economic sanctions and AML laws, that have an extraterritorial impact on multinational businesses, as well as multijurisdictional regulatory and enforcement matters. Ms. Low has extensive experience in internal and government investigations involving their overseas businesses, representing companies, Audit Committees and Board of Directors, and individuals.  She represents clients in enforcement matters before the U.S. Department of Justice, Securities and Exchange Commission, and the World Bank and other international financial institutions. Ms. Low's practice also includes compliance counselling and representation in investment disputes between commercial parties and host governments, including disputes involving issues of fraud and corruption.  She received a #1 Ranking, Chambers Global 2010-2015, International Trade: FCPA Experts.  Ms. Low is listed in Best Lawyers in America 2012-2015, International Arbitration: Government and International Trade and Finance Law. Ms. Low is in Washington, DC Super Lawyers, International, 2014-2015.

Ms. Low is a member of the Board of Directors of Transparency International-USA and serves on its Executive Committee, and has received numerous awards for her work in this area.  In fact, the Global Investigations Review has named her recently to its 2015 “Women in Investigations:  One Hundred Investigation Specialists from Around the World.”  Ms. Low is a Presidential appointee to the Panel of Conciliators of the International Centre for the Settlement of Investment Disputes.  She also currently serves on the secretary of state’s advisory committee on international law and is president-elect of the American Society of International Law.  Ms. Low speaks Portuguese, Spanish and French, and has some knowledge of Russian, Italian and Japanese.


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.   


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.


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.


Thomas 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.


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.