Experience

• Defending Companies and Executives

  • Trafigura, a multinational commodity trading company, in an FCPA resolution with DOJ related to conduct in Brazil.
  • The former head trader at Archegos Capital Management in investigations and charges by SDNY, the SEC, and the CFTC.
  • A global financial institution in DOJ and NY DFS investigations into alleged money laundering violations that resulted in declinations by both agencies.
  • Société Générale in securing a deferred prosecution agreement and first coordinated resolution between the DOJ and France’s Parquet National Financier regarding claims of potential corruption of foreign officials in Libya.
  • A global financial services firm in an internal investigation and parallel government investigations into the practices of its foreign currency traders.
  • A global financial institution in a DOJ investigation of potential FCPA violations involving its private equity arm, resulting in the DOJ declining prosecution and closing its investigation.
  • A credit rating agency in its settlement with the SEC for alleged internal controls failures.
  • A global engineering firm in an SEC investigation into various issues.
  • A Fortune 100 company in civil and criminal investigations regarding possible FCPA violations, resulting in both the DOJ and SEC closing their investigations without bringing any charges or seeking any penalties.
  • The former CEO of Valeant Pharmaceuticals (now Bausch Health) in government investigations and civil securities class actions and other litigation relating to the company’s restatement and sales practices.
  • The former CEO of Hewlett-Packard Company, in securities class actions, derivative litigation and regulatory inquiries arising from Hewlett-Packard’s acquisition of Autonomy.
  • Former CEO of Bank of America in governmental enforcement action and civil litigation.
  • Large financial services company in New York Attorney General investigation of possible securities laws and Martin Act violations.
  • A leading international life insurance company in successful settlement of securities litigation arising from its demutualization.
  • A global manufacturing company in an SEC investigation into possible FCPA violations.
  • Large financial services company in investigation by DOJ of mail fraud violations.
  • A foreign engagement partner of a Big Four auditing firm in a two-week Public Company Accounting Oversight Board (PCAOB) disciplinary hearing, trial and appellate proceeding.
  • One of the largest privately held Swiss companies in corruption investigations in the U.S., Brazil and Switzerland.
  • The owners of a South American construction company in U.S. investigations related to the Lava Jato corruption investigations in Brazil.
  • Four separate Swiss banks in the DOJ’s program designed to encourage Swiss banks to cooperate in the DOJ’s investigations of the use of foreign bank accounts to commit tax evasion.
  • Artemis and its chairman and controlling shareholder in an investigation of several French banks and other companies and individuals. A civil resolution was reached and no criminal charges were filed.

• Conducting Internal Investigations

  • A professional sports league in a confidential investigation of a team’s compliance with league rules.
  • Rolls-Royce in an internal investigation and coordinated resolutions with UK, U.S. and Brazil investigating authorities relating to bribery and corruption involving intermediaries in a number of overseas markets.
  • A professional services firm in investigating a whistleblower complaint alleging corruption relating to Mexico.
  • The Boards of Trustees of The Lawrenceville School and Deerfield Academy in independent investigations of allegations of improper adult-student sexual conduct.
  • A Swiss mining company in a compliance review of the use of third-party intermediaries.
  • Siemens’ Audit Committee in a worldwide investigation into possible corrupt payments to government officials leading to an early settlement with the U.S. and German authorities.