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 and Corporate Investigations Team is among the nation’s leaders in all aspects of corporate criminal defense and enforcement-related litigation. Our 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 occur. 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.

Our more than two dozen team members have served as legal advisors to Fortune 50 companies and major hedge funds, as well as former advocates for the government. This deep bench of talent allows us to better advise our clients on corporate criminal laws and legal regulatory standards.

Our clients are our top priority. We:
  • Proactively address concerns raised by prosecutors and regulators and routinely succeed in persuading the government not to proceed with costly and reputationally damaging criminal charges.
  • Assist clients with all aspects of internal investigations, including government inquiries and negotiations with the government.
  • Regularly represent clients in grand jury investigations and defend businesses and individuals in white collar criminal investigations and prosecutions around the globe, in parallel civil enforcement proceedings and in related third-party proceedings.
  • Defend and counsel clients in high-stakes litigation involving Foreign Corrupt Practices Act investigations, corporate governance issues, whistleblowing procedures, securities fraud, money laundering/asset forfeiture, criminal antitrust enforcement, public corruption, insider trading, hedge fund fraud and healthcare fraud.
  • Structure compliance programs and guide our clients safely through extremely sensitive matters.
  • Defend corporations, their officers, directors and employees charged with violations by the U.S. Attorney’s Office, Department of Justice, SEC and/or FINRA.
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Our clients benefit from our:
  • Industry and regulatory expertise. We regularly work with colleagues in the firm’s regulatory, compliance, corporate and government affairs practices to assist clients on various matters. With leading regulatory practices in securities, antitrust and privacy/data security, we are uniquely positioned to offer our clients the best expertise in the industry.
  • Results-driven focus. Every strategy we devise and tactic we employ is guided by our clients’ objectives.
  • Decades of experience. We have long-standing relationships with regulators and enforcement authorities with whom our clients interact.
  • Discretion. We have a very successful track record in resolving many matters quietly, without any litigation at all, let alone criminal referrals or prosecutions.
  • Insider perspective. Partner Steven Dettelbach recently served seven years as the presidentially appointed U.S. Attorney for the Northern District of Ohio. In that capacity, he was selected by both Attorneys General Eric H. Holder, Jr. and Loretta E. Lynch to serve on the Attorney General’s Advisory Committee and he was a member of the committee in September 2015 when the Yates Memo was considered and adopted.

Select Experience

  • BakerHostetler is counsel to Irving H. Picard, Securities Investor Protection Act (SIPA) Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS), a global recovery effort for Madoff’s Ponzi scheme. More than $11.129 billion has been recovered and, combined with advances from the Securities Investor Protection Corporation (SIPC), more than $9.430 billion has been returned to victims.
  • Selected by the 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.
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Professionals

Name Title Office Email
W. Barron A. Avery Counsel Washington, D.C.
Stanley C. Ball Associate Chicago
Jonathan R. Barr Partner Washington, D.C.
Terry M. Brennan Partner Cleveland
Seanna R. Brown Partner New York
Daniel J. Buzzetta Partner New York
Patrick T. Campbell Partner New York
John J. Carney Partner New York
Susrut A. Carpenter Associate New York
Melissa M. Carvalho Counsel New York
Dennis O. Cohen Partner New York
Tracy Cole Partner New York
María R. Coor Partner Washington, D.C.
Steven M. Dettelbach Partner Cleveland
Robert M. Disch Of Counsel 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
Patrick H. Haggerty Partner Cincinnati
Patrick Hannon Partner New York
Margaret E. Hirce Associate New York
Edward J. Jacobs Partner New York
Katherine M. John Associate Washington, D.C.
Meheret M. Kassa Associate Cleveland
David E. Kitchen Partner Cleveland
Melissa L. Kosack Counsel New York
B. Scott McBride Partner Houston
Katherine L. McKnight Partner Washington, D.C.
David M. McMillan Associate Denver
John W. Moscow Partner New York
Jay R. Nanavati Counsel Washington, D.C.
Jonathan B. New Partner New York
Sally Yuanyuan Qin Associate Washington, D.C.
Lora M. Reece Partner Cleveland
Lauren J. Resnick Partner New York
Joshua M. Robbins Counsel Washington, D.C.
James H. Rollinson Partner Cleveland
Jacqlyn Rovine Associate New York
Gregory S. Saikin Partner Houston
Edmund W. Searby Partner Cleveland
Brian W. Song Partner New York
George A. Stamboulidis Partner New York
Sarah Jane T.C. Truong Associate New York
Ona T. Wang Partner New York
Kendall E. Wangsgard Associate Washington, D.C.
Kathryn M. Zunno Partner New York

Experience

  • BakerHostetler is counsel to Irving H. Picard, Securities Investor Protection Act (SIPA) Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS), a global recovery effort for Madoff’s Ponzi scheme. More than $11.129 billion has been recovered and, combined with advances from the Securities Investor Protection Corporation (SIPC), more than $9.430 billion has been returned to victims.
  • Selected by the 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, 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.
  • Obtained declination of charges on behalf of the president of an independent diagnostic testing facility in connection with a $40 million healthcare fraud conspiracy and anti-kickback statute investigation conducted by the DOJ 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 a non-prosecution agreement between the DOJ and Mellon Bank, N.A.
  • Successfully represented a major South American republic in an ongoing 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 DOJ.
  • Selected by the Town of Brookhaven’s board to investigate the operation of Brookhaven’s landfill and continue to serve as 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 representing a former Fortune 50 company CFO in multiple state and federal lawsuits alleging accounting and securities fraud in connection with a multi-billion-dollar restatement over a five-year period.
  • Engaged by the chairman and CEO of a multi-billion-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 representing an international fund manager in a multijurisdiction 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.

Recognition

  • Law360 White Collar “Practice Group of the Year” (2014)
  • Chambers USA: Litigation: White-Collar Crime & Government Investigations in New York (2013 to 2016)
  • The Legal 500 United States: Dispute Resolution: White-collar criminal defense (2016)
  • BTI Client Service 30: BakerHostetler advanced 19 positions to #9 (2016)
  • U.S. News - Best Lawyers "Best Law Firms" Criminal Defense - White Collar (2016)
    • Metro Cleveland, Tier 2
    • Metro New York, Tier 1
    • Metro Washington, D.C., Tier 3
  • The Best Lawyers in America© (2016)
    • 4 lawyers named in Criminal Defense: White-Collar

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