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Internal Investigations 2013


Speaker(s): Andrew J. Ceresney, Dixie L. Johnson, E. Scott Morvillo, Elaine H. Mandelbaum, Elaine W. Stone, F. Joseph Warin, Gregory S. Bruch, J. Kevin McCarthy, Janet A. Broeckel, John F. Savarese, Martine M. Beamon, Mei Lin Kwan-Gett, Michael Delikat, Nancy Kestenbaum, Richard Tarlowe, Richard J. Morvillo, Steven R. Peikin, Susanna M. Buergel, Thomas A. Hanusik
Recorded on: Jun. 25, 2013
PLI Program #: 43209

Janet A. Broeckel is a Managing Director and Associate General Counsel in Litigation and Regulatory Proceedings group at Goldman, Sachs & Co., where she focuses primarily on government investigations and inquiries, civil litigation, and internal investigations. Prior to joining Goldman in 2005, Ms. Broeckel was a litigation partner at the law firm Pillsbury Winthrop, LLP firm in New York, where she specialized in representing corporations and individuals in regulatory investigations and enforcement proceedings, white collar criminal securities matters, and securities class actions. Prior to joining private practice, she served in the SEC’s Division of Enforcement in New York. Ms. Broeckel is a graduate of the University of Washington and the Washington College of Law, American University.


Kevin McCarthy is a Senior Executive Vice President and General Counsel of BNY Mellon. He heads BNY Mellon’s Legal Department, has overall responsibility for government affairs, serves as the Corporate Secretary of BNY Mellon and is also member of the company’s Executive Committee, its most senior management body, which oversees day-to-day operations. 

Kevin was appointed to his current position in April 2014. He joined BNY Mellon in 2010 as Deputy General Counsel and led the Litigation, Enforcement and Employment Law functions. In 2013 he was appointed Senior Deputy General Counsel and assumed additional responsibility for the legal teams supporting the company’s Asset Servicing businesses and corporate center functions. 

Prior to joining BNY Mellon, Kevin was General Counsel of Cowen Group, Inc., a diversified investment bank and financial services firm. From 2004 to 2007, he was a partner at Wilmer Hale, focused on securities and litigation matters. From 1996 to 2004, Kevin was at Credit Suisse First Boston in a variety of roles, most recently as Managing Director and Global Head of Litigation. Kevin began his legal career as an associate at Willkie Farr & Gallagher. 

Mr. McCarthy received a B.A. from Siena College and his J.D. from Albany Law School of Union University. 


Dixie L. Johnson is a partner in King & Spalding LLP Special Matters and Government Investigations practice group and co-leads the firm’s securities enforcement and regulation practice. She represents businesses and individuals in government securities investigations from her office in Washington, DC.   With over 30 years of experience, she represents public companies, financial institutions, public accounting firms, boards of directors and boards of trustees, corporate officers and other individuals in securities enforcement investigations.  She appears regularly before the United States Securities and Exchange Commission, the United States Department of Justice, and other federal, state and local agencies, as well as various boards and self-regulatory organizations, including the Public Company Accounting Oversight Board and the Financial Industry Regulatory Authority. She  also counsels clients regarding their regulatory and disclosure obligations, assists clients in developing policies and procedures to deter violations, and conducts internal investigations.  Consistently highly ranked by Chambers, Legal 500 and others, she was also named “Litigation Star” and one of the top 250 Women in Litigation by Benchmark;  Best Lawyers’ “Lawyer of the Year” in Washington, D.C. in 2014-16 for Corporate Compliance Law and in 2016 for Securities Regulation; and one of the Securities Docket’s “Enforcement 40” list of top SEC enforcement lawyers in 2013.  Few of her client representations ever become known to the public.

In addition to representing the businesses and business leaders who are her clients, Ms. Johnson served in 2013-2014 as the elected Chair of the Business Law Section of the American Bar Association, with over 50,000 members, over 50 substantive committees, and over 500 subcommittees, all focused on issues that matter to business lawyers.  Previously, as Business Law Secretary and Vice-Chair, Ms. Johnson served as editor-in-chief of the Section's renowned journal, The Business Lawyer, in 2010-2012, and as co-editor-in-chief of the Section's online monthly magazine, Business Law Today, in 2010-2011.  In 2006, she received  the Business Law Section's "Jean Allard Glass Cutter Award," given annually to a woman who has cut through barriers to attain high accomplishments in Business Law.  She currently serves as co-chair of the ABA Business Law Fellows Committee, focused on increasing participation by young lawyers, lawyers of color, LGBT lawyers, and disabled lawyers in the activities of the Business Law Section.  From 2003-2006, she served as Chair of the Committee on Federal Regulation of Securities, following a long tenure as co-chair of that committee's Subcommittee on Civil Litigation and SEC Enforcement Matters.  Ms. Johnson also is an elected member of the American Law Institute and the American College of Governance Counsel.

Prior to becoming a lawyer, she taught in the Albuquerque, New Mexico public school system for six years.


Gregory S. Bruch is a partner at Bruch Hanna LLP in Washington, DC, a   He represents public companies, broker-dealers, investment advisers, hedge funds and other private funds, officers and directors and other institutions and individuals in connection with securities law enforcement, compliance and litigation matters.  Mr. Bruch, a former Assistant Director at the SEC, served 12 years with the SEC’s Division of Enforcement in Washington, D.C., where he was responsible for a number of the agency’s significant enforcement actions concerning complex financial fraud, marketing manipulation, insider trading and FCPA matters.  In 2000, Mr. Bruch received the Stanley Sporkin Award in recognition of his contributions to the SEC’s enforcement program.  He is a frequent speaker on securities enforcement and financial reporting issues, and for six years taught securities enforcement as an adjunct professor at Georgetown Law School.  Mr. Bruch graduated from Stanford University (A.B. History, 1982) and the University of Iowa College of Law (J.D., with High Distinction, 1985), where he was the Editor in Chief of the Iowa law Review.  Following law school graduation, Mr. Bruch served as a law clerk to the Hon. George E. MacKinnon, of the U.S. Court of Appeals for the District of Columbia Circuit.


ELAINE MANDELBAUM is Managing Director and General Counsel of Litigation and Regulatory Enforcement of Citigroup’s Institutional Clients Group (ICG).  Her group is responsible for all litigation, arbitrations, internal investigations and regulatory inquiries and related investigations, sweeps and enforcement proceedings for Citigroup’s institutional businesses, including corporate and investment banking, sales and trading, capital markets origination, securities services, trade and treasury services and private banking.  Elaine also is a member of the Global ICG Legal Management Committee.

Prior to starting at Citigroup in 1997, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison.  She is Treasurer of the SIFMA Compliance & Legal Society Executive Committee, and was Chair of SIFMA C&L’s 2015 Annual Seminar, having previously served as co-chair of the Seminar for several years.  She was recently elected to a three year term as a member of the FINRA National Adjudicatory Council.  Elaine is on the Board of Directors of the Legal Action Center, and is a recipient of the 2015 “Woman Who Dared” Award from the National Council of Jewish Women.

Elaine is a frequent speaker on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry.  She is an honors graduate of Yale College and of Harvard Law School.


F. Joseph Warin is chair of the Washington, D.C. Office’s Litigation Department, which consists of over 125 attorneys.  Mr. Warin also serves as co-chair of the firm's White Collar Defense and Investigations Practice Group.  He served as Assistant United States Attorney in Washington, D.C. from 1976-83.  In that capacity, Mr. Warin was awarded a Special Achievement award by the Attorney General.  As a prosecutor, he tried more than 50 jury trials.

Mr. Warin's areas of expertise include white collar crime and securities enforcement – including Foreign Corrupt Practices Act investigations, False Claims Act cases, special committee representations, compliance counseling and complex class action civil litigation.  Mr. Warin has handled cases in more than 35 states.  His clients have included corporations, officers, directors and professionals in regulatory, investigative and trial matters.  These representations have involved federal regulatory inquiries, criminal investigations and Congressional hearings.  Recently, Mr. Warin successfully argued motions to dismiss in securities and consumer protection class actions in the Southern District of New York and the District of Columbia.

Mr. Warin’s civil practice includes representation of clients in complex litigation in federal courts and international arbitrations.  He has tried 10b-5 securities and RICO claim lawsuits, hostile takeovers, and commercial disputes.  Mr. Warin has handled numerous class action cases and is currently defending class actions in several district courts including the Southern District of New York, District of Columbia, Eastern District of Missouri and Northern District of California.  These representations include investment banking firms, Big 4 accounting firms, broker-dealers and hedge funds.

For many years, Mr. Warin has been hired by audit committees or special committees of public companies to conduct investigations into allegations of wrongdoing.  These investigations have been in a wide variety of industries including energy, oil services, healthcare, and telecommunications.

Mr. Warin has conducted FCPA investigations relating to business in 35 countries, including, Argentina, Austria, Bangladesh, Brazil, China, Croatia, Dubai/UAE, France, Germany, Great Britain, India, Iran, Iraq, Italy, Jordan, Kazakhstan, Korea, Lebanon, Libya, Mexico, Nigeria, Norway, Panama, Peru, Philippines, Poland, Qatar, Russia and Saudi Arabia, South Africa, and Yemen.  In connection with these investigations, Mr. Warin has provided advice to general counsels and senior management regarding company practices, enhancements to compliance programs, disciplinary action for company employees and remedial measures for improving compliance.  Some investigations have also prompted voluntary disclosures to the SEC and the Department of Justice, and Mr. Warin handled the Department of Justice and SEC investigations.

Significant Representations include:

  • Defended executives of a top technology company and obtained dismissal of a derivative lawsuit alleging options backdating.
  • Defended large telecommunications company in a criminal investigation conducted by Southern District of New York U.S. Attorney’s Office and achieved a declination of prosecution.
  • Successfully led as FCPA counsel for first non-US compliance monitor in connection with largest ever FCPA settlement.
  • Represented the Audit Committee of a $2 billion hospital chain against allegations of financial misrepresentations.Convinced the SEC and U.S. Attorney’s Office not to take any enforcement actions against client.
  • Represented the Audit Committee of Fortune 100 energy company relating to allegations of earnings management.
  • Represented the largest truck-stop company in the United States in an antitrust case and obtained a $49.5 million settlement in favor of the client within two weeks of trial.
  • Defended the president of a hardware supply company in a criminal price fixing case.The jury acquitted our client after a three week trial in St. Louis, Missouri.
  • Recently concluded serving as FCPA compliance monitor pursuant to a deferred prosecution agreement with Securities Exchange Commission and Department of Justice.
  • Obtained dismissal of numerous lawsuits brought against the largest securities self-regulatory organization during course of almost 20 years.

Mr. Warin is one of only ten lawyers in the United States with Chambers rankings in five categories.  He received the Chambers USA Award for Excellence in 2014 in the category of Litigation: White Collar Crime & Government Investigations.  The Excellence awards are given to those who “have excelled above all others in the U.S. legal market over the period 2013-14.” Mr. Warin was honored by Who’s Who Legal for a second year in a row as its 2015 Investigative Lawyer of the Year. Winners are the “most widely recognized for their achievements by the global legal market” as determined by private practitioners and in-house counsel.  In 2016, Who’s Who Legal and Global Investigations Review also name Mr. Warin to their list of World’s Ten-Most Highly Regarded Investigations Lawyers. He has been listed in The Best Lawyers in America® every year from 2006 – 2016 for White Collar Criminal Defense. Best Lawyers® also named Mr. Warin 2016 Lawyer of the Year for White Collar Criminal Defense in the District of Columbia.  In 2016, he was named among the Lawdragon 500 Leading Lawyers in America. From 2015-2017, he has been selected by Chambers and Partners Latin America as a top tier lawyer, Latin America-wide, in Fraud & Corporate Investigations. Chambers Global 2016 ranked Mr. Warin as a top attorney for USA – FCPA. In 2016 Chambers USA: America's Leading Lawyers for Business selected Mr. Warin as a Leading Lawyer in the areas of Securities Regulation Enforcement, Securities, and Litigation: FCPA in the nation. He was also ranked as a Leading Lawyer in the areas of Securities Litigation and White Collar Crime and Government Investigations in the District of Columbia. He was selected as a 2015 Top Lawyer for Criminal Defense by Washingtonian magazine. U.S. Legal 500 named Mr. Warin a 2015 Leading Lawyer for White Collar Criminal Defense Litigation. Benchmark Litigation has recognized him a U.S. White Collar Crime Litigator Star for three consecutive years (2013-2015).  In 2013, Mr. Warin was awarded the Best FCPA Client Service Award by Main Justice.  He was also named to the publication’s FCPA Masters list.  In 2011, Mr. Warin was named a white collar law MVP by Law360.  Mr. Warin was named a Special Prosecutor by the District of Columbia Superior Court in 1988.

Mr. Warin graduated in 1975 from the Georgetown University Law Center, where he was Editor of Law and Policy in International Business.  He received his Bachelor of Arts degree cum laude from Creighton University in 1972, where he was student body president.  After graduation he served as a law clerk for United States District Court Judge J. Calvitt Clarke, in the Eastern District of Virginia.  Mr. Warin has been a member of the American Bar Association's White Collar Criminal Law Committee since 1988 and served as president of the Assistant United States Attorneys Association.  Mr. Warin has been selected to serve on insurance company panels for securities class actions.  He is a member of the Board of Directors of the Washington Lawyers Committee for Civil Rights.


John F. Savarese has been a partner in the Litigation Department of Wachtell, Lipton, Rosen & Katz for the past 25 years. He has represented numerous Fortune 500 corporations, major financial institutions and senior executives in SEC and other regulatory enforcement proceedings, as well as white-collar criminal investigations, complex securities litigations, and internal investigations. His extensive experience includes major investigations arising out of the financial crisis of 2008, as well as accounting fraud, insider trading, criminal tax, and criminal antitrust allegations.

Mr. Savarese joined Wachtell Lipton in 1988, after working in the United States Attorneys' Office for the Southern District of New York, where he tried numerous jury trials, received the Attorney General's John Marshall Award for Outstanding Legal Achievement, and also served as Chief Appellate Attorney. Prior to his work with the United States Attorneys' Office, Mr. Savarese served as a law clerk to Justice William J. Brennan of the United States Supreme Court, and to the Honorable Louis H. Pollak of the United States District Court for the Eastern District of Pennsylvania.

Mr. Savarese teaches a course on white-collar criminal law and procedure at Harvard Law School. He serves on the Executive Committee of the New York City Bar Association and was the first chairman of the Association’s White Collar Criminal Law Committee. He is a member of the American Law Institute, and serves as Adviser to the ALI’s project on Principles of Law, Compliance, Enforcement, and Risk Management. He also is a frequent lecturer and panelist for the American Bar Association, Stanford Law School’s Directors' College program, the Practising Law Institute, and the Securities Industry and Financial Markets Association concerning a wide variety of topics, including defending civil and criminal litigation, handling corporate crises and conducting internal investigations. He has written numerous articles on those subjects and serves as a member of the Board of Editors of the "Wall Street Lawyer."

Mr. Savarese also is chairman of the Board of Trustees of the Vera Institute of Justice in New York, a member of the Dean’s Advisory Board at Harvard Law School, a member of the board of the Lawyers’ Committee for Civil Rights Under Law, and the former President of the board of trustees of The Brearley School in New York.

Mr. Savarese graduated magna cum laude from Harvard University in 1977 and received his JD cum laude from Harvard Law School in 1981, where he was an editor of the Harvard Law Review. Mr. Savarese is regularly recognized as one of the world's top litigators, including being selected in International Who's Who of Business LawyersChambers USA Guide and Lawdragon’s 500 Leading Lawyers in America.


Mike Delikat, a partner in the New York office, serves as Chair of Orrick’s Global Employment Law Practice. He also is the founder of the firm’s Whistleblower Task Force.

Chambers Global 2017 guide lists Mike as one of only nine Band 1 ranked Labor and Employment attorneys in the United States.

Under Mike's leadership, Orrick’s Employment Law & Litigation group was named Labor & Employment Department of the Year in California by The Recorder for the last three years, the premier source for legal news, in recognition of their significant wins on behalf of leading multinational companies.             

He represents a broad range of major corporations in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases. He is a leading lawyer representing companies in whistleblower matters and frequently is called on to conduct high level and sensitive internal investigations by boards of directors. He is the co-author of PLI's Corporate Whistleblowing in the Dodd-Frank/Sarbanes Oxley Era, the leading treatise on that subject.


Primary Areas of Practice: Accounting Liability, Anti-Corruption and FCPA, Crisis Management for Corporate Boards and Officers, Cybersecurity and Data Privacy, Economic Sanctions, National Security, Health Care and Life Sciences Litigation, Internal Investigations, Litigation, Professional Liability, Regulatory Enforcement and Investigations, and White Collar Criminal Defense

 

Law School/Graduate School: University of Pittsburgh School of Law

 

Work History: Partner, Davis Polk;  Assistant U.S. Attorney, U.S. Attorney’s Office Southern District of New York;  Associate, Davis Polk;  Law Clerk, Hon. Denis R. Hurley, U.S. District Court Eastern District of New York

 

Professional Memberships: American Bar Association, Federal Bar Council, New York City Bar Association


Scott Morvillo, a partner at Morvillo LLP, represents individuals and corporations in a wide range of criminal, regulatory and civil matters as well as internal investigations. He has recently represented executives and businesses in investigations, prosecutions and civil actions involving allegations of securities fraud, public corruption, bank fraud, bribery, wire and mail fraud, accounting fraud, health care fraud, insurance fraud and violations of the Arms Export Control Act. Scott, a former Assistant United States Attorney for the Eastern District of New York, regularly practices before the United States District Courts for the Southern and Eastern Districts of New York, the Second Circuit, the New York State Supreme Court, the Securities and Exchange Commission, the Federal Election Commission, and other regulatory agencies. In 2013, Scott was selected as a Best Lawyer in America and named in Super Lawyers in the area of white collar criminal defense.

Scott received an A.B. from Colgate University in 1992 and a J.D. from Fordham University School of Law in 1997, where he was a member of the Fordham Urban Law Journal. Following graduation, Scott clerked for the Honorable David N. Edelstein, United States District Judge for the Southern District of New York, from 1997 to 1998. After his clerkship, Scott worked as an associate for two years in the Litigation Department at Rogers & Wells, LLP, in New York. At Rogers & Wells, Scott concentrated primarily on securities litigation, antitrust, and white-collar criminal defense. From 2000-2001, Scott clerked for the Honorable Barbara S. Jones, United States District Judge for the Southern District of New York, following which he returned to Clifford Chance Rogers & Wells, LLP.

From 2002 to 2007, Scott served as an Assistant United States Attorney for the Eastern District of New York, where he investigated and tried a wide variety of criminal cases in the areas of RICO, narcotics, money laundering, bank fraud and credit card fraud. Following his service in the United States Attorney's Office, from 2007 to 2012, Scott was Counsel at Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C. where he focused on white-collar criminal defense and regulatory enforcement.


Steven Peikin is Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white-collar criminal defense, regulatory enforcement, and internal investigations.  He has represented institutions and their senior executives in numerous high-profile matters.  Steve has tried more than 20 criminal jury cases in federal court and argued many appeals before the U.S. Court of Appeals for the Second Circuit.

From 1996 to 2004, Steve was as an Assistant U.S. Attorney in the Southern District of New York, where he served as Chief of the Office’s Securities Fraud Unit.

Steve is also Adjunct Professor of Law at New York University Law School, where he teaches the criminal enforcement of the securities and commodities laws.

Steve is a magna cum laude graduate of both Yale College and Harvard Law School and clerked on the Second Circuit and in the Southern District of New York.


Tom Hanusik is a partner in Crowell & Moring's White Collar & Regulatory Enforcement Group, which Law360 recognized as a "White Collar Group of the Year" and an "FCPA Powerhouse." InsideCounsel identified Tom as one of the "The Best Lawyers to Call in a Worst-Case Scenario" for a white collar investigation in its "Crisis Rolodex" and he was included on SecuritiesDocket's inaugural "Enforcement 40" list of the top SEC Enforcement attorneys. Tom is Chambers ranked in white collar & government investigations and has been recognized consistently in The Best Lawyers in America for white-collar criminal defense and securities regulation.

Tom's practice focuses on DOJ white-collar defense, SEC Enforcement, FINRA Enforcement and internal investigations. Tom leads internal investigations on behalf of companies, boards of directors and board committees, and he advises corporate clients on remedial measures, compliance programs and training. His recent engagements have focused on allegations of financial fraud, insider trading, FCPA violations, AML controls, federal and state tax offenses, public corruption, U.S. export controls and sanctions regulations.


Mr. Ceresney is the Director of the SEC’s Enforcement Division, which has more than 1,300 people throughout the country focused on enforcing the federal securities law.  He joined the SEC in April 2013.

Prior to joining the SEC, Mr. Ceresney served as a partner in the law firm of Debevoise & Plimpton LLP, where he was co-chair of the White Collar Group and focused on representing entities and individuals in white collar criminal and SEC investigations, complex civil litigation and internal corporate investigations.

Prior to joining Debevoise, Mr. Ceresney served as an Assistant United States Attorney in the United States Attorney’s Office for the Southern District of New York, where he was a Deputy Chief Appellate Attorney and a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit.  As a prosecutor, Mr. Ceresney handled numerous white collar criminal investigations, trial and appeals, including matters relating to securities fraud, mail and wire fraud, and money laundering.

Mr. Ceresney served as a law clerk to the Honorable Dennis Jacobs, Chief Judge of the U. S. Court of Appeals for the Second Circuit from 1997 to 1998.  He served as law clerk to the Honorable Michael Mukasey, formerly Chief Judge of the U. S. District Court for the Southern District of New York, from 1996 to 1997.

Mr. Ceresney is a graduate of Columbia College and Yale Law School.


Elaine Stone is a partner in the firm’s White Collar Defense and Investigations Practice Group. Ms. Stone conducts sensitive, high-profile investigations on behalf of Boards of Directors and their Committees. She has particular expertise in advising Special Litigation Committees of Boards in connection with derivative shareholder lawsuits, including for HP, Clear Channel and infoUSA. In another recent matter, she advised the Board of a major national healthcare company under investigation by federal and state authorities.

Prior to joining Covington, Ms. Stone served as Counsel to the Impeachment Trial Committee of the United States Senate; as Associate Counsel to the AEI-Brookings Project on the Independent Counsel Project, headed by former Senate leaders George Mitchell and Bob Dole; and as an Assistant District Attorney in Nueces County, Texas.


Mei Lin Kwan-Gett is Citigroup’s Deputy General Counsel and Head of Global Litigation and Regulatory Investigations, where she supervises a worldwide litigation and investigations team.  Prior to joining Citigroup, Ms. Kwan-Gett was a partner at the law firm of Willkie Farr & Gallagher, LLP, where she was co-head of the firm’s white collar defense practice group and specialized in regulatory and enforcement matters, internal investigations, and complex commercial litigation.  Prior to joining Willkie Farr, Ms. Kwan-Gett worked at the U.S. Attorney’s Office for the Southern District of New York as Deputy Chief of the Criminal Division.  She also served as Special Investigative Counsel for the Office of the Inspector General for the U.S. Department of Justice.  She began her career as a Law Clerk in the U.S. Court of Appeals for the Second Circuit.

Ms. Kwan-Gett is a former Chair of the Board of Directors of the City Bar Fund and was a Vice President of the Association of the Bar of the City of New York.  Additionally, she is a member of the Practising Law Institute’s Board of Trustees and a Fellow of the American Bar Foundation.

Mei Lin earned her AB from Harvard College and her JD from Yale Law School.


Nancy Kestenbaum, a partner in New York, is Co-Chair of Covington’s White Collar Defense and Investigations Practice Group. She represents companies, boards of directors and individuals in a variety of white collar criminal, SEC and regulatory enforcement matters and complex civil litigation. Ms. Kestenbaum has extensive experience representing clients in the financial services, life sciences, energy, defense, consumer products and technology industries.

Ms. Kestenbaum served for nine years as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where she investigated and prosecuted numerous cases including securities fraud, tax offenses, bank fraud, money laundering, obstruction of justice, civil rights violations, bribery and perjury, and served as Chief of the General Crimes Unit and Deputy Chief of the Criminal Division, where she supervised and trained dozens of other prosecutors.


Richard J. Morvillo, a partner in Morvillo’s New York and Washington, D.C. offices, is a nationally-recognized expert in SEC enforcement and other white collar matters. He was named by Best Lawyers in America as the “2013 Lawyer of the Year - Securities Litigation” and Chambers USA has recognized Rich as “one of the deans of the securities enforcement bar." Over the past 35 years, he has been involved in over 200 SEC investigations, including some of the highest profile cases the SEC has handled. He also has extensive experience in FCPA cases, securities related white-collar criminal matters and private securities litigation. A former branch chief with the Securities and Exchange Commission's Division of Enforcement, Rich represents corporations, corporate executives, brokerage firms, investment advisers, accounting firms, auditors, law firms, hedge funds and individual investors in connection with SEC, PCAOB, NYSE, FINRA, congressional, state attorney general and grand jury investigations; SEC litigation; and complex securities cases.


Richard Tarlowe has been an Assistant United States Attorney in the Southern District of New York since 2007.  As Co-Chief of the Complex Frauds Unit, Mr. Tarlowe oversees the Office’s investigations and prosecutions of a wide range of white collar matters.  Prior to his appointment as Co-Chief, Mr. Tarlowe served as a member of the Office’s Securities and Commodities Fraud Task Force, where he led the prosecution of dozens of insider trading, market manipulation, investment adviser fraud, accounting fraud, and other securities fraud matters.  Mr. Tarlowe served as trial counsel in the successful prosecutions of: Rajat Gupta, a former Goldman Sachs Board member convicted of providing inside information to Raj Rajaratnam; Todd Newman and Anthony Chiasson, portfolio managers at two hedge funds convicted of exchanging and trading on inside information; and Zvi Goffer, Emanuel Goffer, and Michael Kimelman, stock traders convicted of participating in an insider trading scheme in which attorneys were paid for illegal tips about corporate takeovers.  For his role in the prosecution of Rajat Gupta, Mr. Tarlowe received the Executive Office of U.S. Attorneys’ Director’s Award for Superior Performance.  Prior to joining the U.S. Attorney’s Office, Mr. Tarlowe worked at the law firm of Morvillo, Abramowitz, Grand, Iason & Anello.  He has also served as an adjunct instructor of law at Brooklyn Law School and previously worked in the investment banking division of Goldman Sachs.  Mr. Tarlowe graduated summa cum laude from Duke University in 1997 and received his law degree magna cum laude from Harvard Law School in 2001.


A partner in the Litigation Department, Susanna M. Buergel has extensive experience handling a broad range of matters, with particular emphasis defending financial institutions and corporations in complex securities and commercial matters in federal and state courts across the country as well as representing financial institutions and other clients before the SEC and federal and state regulatory authorities. Susanna also has extensive intellectual property experience, counseling and litigating on behalf of clients in copyright, trademark and patent disputes.

Susanna served as articles editor of the Columbia Law Review and was a Harlan Fiske Stone Scholar. She is an adjunct lecturer in law at Columbia Law School and currently teaches a course in trial practice. She also speaks at the ACI-Securities Enforcement Conference. Susanna was selected to Law 360's list of 10 securities lawyers under 50 to watch in March 2010. In 2012, Susanna was recognized by Legal 500 in Financial Services: Litigation. In 2013, Susanna was named a "Future Star" by Benchmark Litigation.