White Collar Defense and Corporate Investigations

“They have real strength and depth in terms of personnel, and have excellent knowledge of the SEC and DOJ, given that key members are former employees of those organizations. Very client-oriented team."
– Chambers USA 2014

BakerHostetler’s White Collar Defense is among the nation’s leading law firms for all aspects of corporate criminal defense and enforcement-related litigation. Our Chambers USA ranked White Collar Defense and Corporate Investigation team includes some of the country’s most experienced and seasoned lawyers, who are dedicated to protecting businesses and individuals by preventing violations before they happen. We are leaders in the field and have defended and counseled clients in high stakes litigation involving FCPA investigations, securities frauds, public corruption, insider trading, and hedge fund fraud, as well as health care fraud. We see beyond the horizon to help clients minimize the legal, economic, and reputational risks that corporate investigations and enforcement actions pose by working to quickly identify, contain, and correct potential misconduct.

With more than two dozen professionals in the White Collar practice, team members have served as legal advisors to Fortune 50 companies and major hedge funds, as well as former advocates for the government as Assistant United States Attorneys, Assistant District Attorneys, and SEC enforcement attorneys. Our deep bench of talent allows us to better advise our clients on corporate criminal laws and legal regulatory standards. As cases arise in various areas, our experience has proven to be invaluable in our representation of clients before the SEC, the Department of Justice, the Internal Revenue Service, the Federal Trade Commission, and other federal and state agencies.

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Not only do we represent clients in connection with corporate investigations and compliance, but we are frequently appointed by the federal government in connection with monitorships. In fact, only BakerHostetler has been appointed as monitor by the U.S. Department of Justice four times in recent years—for Merrill Lynch, the Bank of New York, Mellon Bank, and Local 14-14B of the International Union of Operating Engineers.

Our representation of clients across the United States and abroad in government investigations and enforcement litigation is bolstered by the strength of BakerHostetler’s nationally recognized attorneys in areas such as antitrust, tax, class action litigation, and securities regulation and enforcement.

Select Experience

  • Selected by SEC and appointed by the U.S. District Court in Connecticut to serve as Receiver of a half-billion dollar hedge fund, Michael Kenwood Capital Management, LLC.
  • Successfully performed a comprehensive investigation for the audit committee and executive management of a global payment operator regarding compliance with OFAC trade sanctions in Iran, Syria, Libya, and Cuba. Analyzed anti-money laundering and trade sanctions policies and procedures and conducted forensic examination of books and records.
  • Obtained a favorable resolution for a former CFO of a Fortune 100 manufacturing company, in an investigation by the SEC and DOJ into alleged FCPA violations by the company during the course of the CFO’s tenure.
  • In an effort to eradicate organized crime’s decades-long infiltration and control of Local 14-14B of the International Union of Operating Engineers, national co-leader of BakerHostetler’s White Collar team, George Stamboulidis, was appointed by the U.S. District Court for the Eastern District of New York to serve as the Ethical Practices Attorney for the Local. George and the BakerHostetler team investigate allegations of misconduct by union officers, members, and employers, commences disciplinary actions to eliminate corruption and the influence of organized crime from the Local, reviews and revises job referrals and other union protocols, and supervises voting procedures and elections for union officers.
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Professionals

Name Title Office Email
Jonathan R. Barr Partner Washington, D.C.
Terry M. Brennan Partner Cleveland
Seanna R. Brown Associate New York
Daniel J. Buzzetta Partner New York
Hilary S. Cairnie Partner Washington, D.C.
Patrick T. Campbell Associate New York
John J. Carney Partner New York
Melissa M. Carvalho Associate New York
Dennis O. Cohen Partner New York
Tracy Cole Partner New York
S. Jeanine Conley Partner New York
María R. Coor Associate Washington, D.C.
Robert M. Disch Of Counsel Washington, D.C.
Kelley P. Doran Partner Washington, D.C.
José C. Feliciano Partner Cleveland
Jimmy Fokas Partner New York
Jonathan A. Forman Associate New York
John R. Fornaciari Partner Washington, D.C.
Lisa M. Ghannoum Partner Cleveland
Emerald P. Greywoode Associate Washington, D.C.
Patrick H. Haggerty Associate Cincinnati
Patrick Hannon Partner New York
Francesca M. Harker Associate New York
Edward J. Jacobs Partner New York
David E. Kitchen Partner Cleveland
Melissa L. Kosack Associate New York
Sammi Malek Partner New York
James N. Mastracchio Partner Washington, D.C.
B. Scott McBride Partner Houston
David M. McMillan Associate New York
John W. Moscow Partner New York
Jay R. Nanavati Counsel Washington, D.C.
Jonathan B. New Partner New York
Michael G. Oxley Of Counsel Washington, D.C.
Peggy A. Peterson Senior Advisor Washington, D.C.
Timothy Scott Pfeifer Partner New York
Sally Yuanyuan Qin Associate Washington, D.C.
Lora M. Reece Partner Cleveland
Lauren J. Resnick Partner New York
James H. Rollinson Partner Cleveland
Gregory S. Saikin Counsel Houston
William H. Schweitzer Partner Washington, D.C.
Edmund W. Searby Partner Cleveland
Erica Sollie Associate New York
Brian W. Song Associate New York
George A. Stamboulidis Partner New York
Sarah Jane T.C. Truong Associate New York
Ona T. Wang Partner New York
Coleman W. Watson Associate Orlando

Experience

  • Selected by SEC and appointed by the U.S. District Court in Connecticut to serve as Receiver of a half-billion dollar hedge fund, Michael Kenwood Capital Management, LLC.
  • Successfully performed a comprehensive investigation for the audit committee and executive management of a global payment operator regarding compliance with OFAC trade sanctions in Iran, Syria, Libya, and Cuba. Analyzed anti-money laundering and trade sanctions policies and procedures and conducted forensic examination of books and records.
  • Obtained a favorable resolution for a former CFO of a Fortune 100 manufacturing company, in an investigation by the SEC and DOJ into alleged FCPA violations by the company during the course of the CFO’s tenure.
  • In an effort to eradicate organized crime’s decades-long infiltration and control of Local 14-14B of the International Union of Operating Engineers, national co-leader of BakerHostetler’s White Collar team, George Stamboulidis, was appointed by the U.S. District Court for the Eastern District of New York to serve as the Ethical Practices Attorney for the Local. George and the BakerHostetler team investigate allegations of misconduct by union officers, members, and employers, commences disciplinary actions to eliminate corruption and the influence of organized crime from the Local, reviews and revises job referrals and other union protocols, and supervises voting procedures and elections for union officers.
  • Obtained declination of charges on behalf of president of independent diagnostic testing facility in connection with a $40 million healthcare fraud conspiracy and anti-kickback statute investigation conducted by the Department of Justice and U.S. Department of Health and Human Services, Office of Inspector General.
  • Successfully managed a team assessing a major bank’s global compliance on data privacy, government contracts, FCPA and other regulatory compliance matters in connection with the firm’s appointment as Monitor of non-prosecution agreement between Department of Justice and Mellon Bank, N.A.
  • Successfully represented a major South American Republic in an on-going forfeiture case, recovering millions of dollars for the Republic.
  • Currently representing international real estate companies and their owners in a quarter-billion dollar forfeiture action brought by the Department of Justice.
  • While nearly 30 federal monitors have been named by the Department of Justice since the program’s inception in 1994, only BakerHostetler has been appointed by the government four times—for Merrill Lynch, the Bank of New York, Mellon Bank and Local 14. Our team brings a recognized reputation for integrity, thorough analysis, and sound judgment, giving us unique insight into business operations, compliance procedures and crisis response.
  • Appointed and served as the outside independent monitor of Mellon Bank, N.A. (Mellon), by the United States Attorney’s Office. BakerHostetler was responsible for oversight of Mellon’s compliance with the terms and conditions of a settlement agreement with the U.S. Attorney’s Office. This monitorship continued after Mellon’s subsequent merger with the Bank of New York.
  • BakerHostetler was selected by the Town of Brookhaven’s Board to investigate the operation of Brookhaven’s landfill and continues to serve as the Monitor for the Town of Brookhaven’s Waste Management Department. Our team reviews applications for access to the landfill and approves haulers and vendors to mitigate the risk of corruption or illegal dumping and prevent fraud.
  • Lead partner in representation of former Fortune 50 company CFO in multiple state and federal lawsuits alleging accounting and securities fraud in connection with multibillion-dollar restatement over a five-year period.
  • Engaged by Chairman and CEO of multibillon-dollar public company, to provide counsel during internal and SEC investigations and advice on corporate governance matters in a case focusing on alleged revenue recognition accounting misconduct and company-wide internal controls and governance issues.
  • Lead partner in representation of international fund manager in multi-jurisdiction insider trading investigation.
  • Retained by the Government of the United Kingdom, National Crime Agency (the "British FBI") as an expert witness on U.S. law pertaining to securities fraud, wire fraud, and money laundering offenses.

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