Kenneth Herzinger. SEC and Regulatory Experience

Transcription

1 Kenneth Herzinger Partner, Securities Litigation San Francisco (415) Related Practice Areas SEC Investigations and Enforcement Actions Accountants' Liability Securities Class Actions Mergers and Acquisitions Litigation Derivative Suits Commercial Litigation Education J.D., Seton Hall University School of Law, 1998 B.A., English, Clemson University, 1993 Mr. Herzinger, a partner in Orrick's San Francisco office, is a member of the Securities Litigation and Regulatory Enforcement Group. Mr. Herzinger s practice focuses on SEC and related criminal investigations and enforcement actions, accounting firm and professional liability representation, securities class actions, M&A litigation and derivative suits. Mr. Herzinger's clients include: Intel Corporation, Oracle Corporation, McAfee, Inc., Morgan Stanley Smith Barney, LLC, PricewaterhouseCoopers LLP, and RS Investment Management. SEC and Regulatory Experience Mr. Herzinger began his legal career as a staff attorney in the Enforcement Division of the U.S. Securities and Exchange Commission in New York, where he was responsible for conducting investigations of accounting and financial statement fraud, insider trading, and market manipulation. Since entering private practice, he has represented numerous corporations, directors and officers, financial institutions, auditors, hedge funds, mutual funds and brokerdealers involved in investigations by the U.S. Attorney's Office, SEC, self-regulatory organizations such as FINRA and the New York Attorney General s Office. He has also conducted numerous internal and audit committee investigations. Securities Class Actions, Auditor Representation and M&A Litigation Mr. Herzinger has represented numerous corporations, directors and officers, auditors, and financial institutions in federal securities class actions, M&A litigation, derivative suits and professional liability actions. Notable engagements include the following: Metropolitan v. PricewaterhouseCoopers LLP In re Metropolitan Securities Litigation In re Retek Securities Litigation In re Mutual Fund Trading Securities Litigation Oracle/Sun Microsystems M&A Litigation Kenneth Herzinger Page 1

2 Furman v. Wal-Mart Derivative Litigation McAfee/Secure Computing M&A Litigation Oracle/Siebel Systems M&A Litigation Oracle/Portal Systems M&A Litigation In re Enron Corporation Securities Litigation In re Initial Public Offering Securities Litigation Mr. Herzinger was also a member of the trial team which obtained a defense verdict in Howard v. Everex Systems, Inc., (N.D. Cal. 2002), one of only several securities class action jury trials in the country to be tried to verdict. Admitted in California New York Court Admissions United States Court of Appeals Ninth Circuit United States District Court Northern District of California Central District of California Southern District of New York Eastern District of New York Memberships State Bar of California New York State Bar Association Advisory Board, National Association of Corporate Directors, Silicon Valley Chapter Multimedia Video: A Battle of Experts - Interpreting Deepening Insolvency [5 min.] Video: Electronic Discovery - Keeping an Eye on Compliance [5 min.] Kenneth Herzinger Page 2

3 Publications Co-Author, "District Court Denies Rajaratnam's Bid to Overturn his Verdict" Co-author, "Massachusetts First to Regulate Use of Expert Network Services," August 2011 Co-author, "Securities Litigation Risks for Public Companies Arising From the Dodd-Frank Wall Street Reform and Consumer Protection Act" Co-author, "Court Allows Use of Wiretap Evidence in Galleon Insider Trading Case" - November 2010 Co-author, "Defending Securities Class Actions," ALI-ABA Securities Litigation Publication Editor, Securities Reform Act Litigation Reporter Co-author, "Due Diligence in the Securities Litigation Reform Era," 2004 Speeches & Programs Orrick Insider Trading Roundtable: A New Era of Federal Prosecutions, July 2011 AICPA Forensic Accounting Conference 2011, Insider Trading Investigations: Best Practices in Internal Investigations, Takeaways from the Rajaratnam Case, and the Government's New Insider Trading Initiatives, September 2011 AICPA Forensic Accounting Conference 2011, Navigational Skills for the Forensic Accountant, September 2011 Kenneth Herzinger Page 3

4 Amy Ross Partner, Securities Litigation San Francisco (415) Related Practice Areas Securities Class Actions Internal and Audit Committee Investigations SEC Investigations and Enforcement Actions Derivative Suits Representation of Individuals White Collar Investigations Education J.D., University of San Francisco School of Law, 2001 B.A., Political Science, University of California, San Diego, 1996 Amy M. Ross, a partner in the San Francisco office, is a member of the Securities Litigation and Regulatory Enforcement Group. Her practice focuses on the representation of public companies, directors and officers in securities class actions, SEC and DOJ investigations and enforcement actions, shareholder derivative actions and actions brought under federal and state securities laws. Ms. Ross has extensive experience in litigation involving breaches of fiduciary duty and conducting various types of corporate investigations. Ms. Ross has represented the following companies and/or individuals associated with the following companies: Brocade Communications Systems, Inc.; Intel Corporation; Siebel Systems, Inc.; FormFactor, Inc.; SiRF Technology Holdings, Inc.; Qwest Communications; EFI; Atmel Corporation; and Autodesk, Inc. Significant involvement in recent cases include the following. Honors Named a Northern California Super Lawyers Rising Star in the area of Securities Litigation (2009, 2010, 2011). The representation of the former General Counsel of multiple public companies in an SEC case brought regarding stock option issues. The representation of the former controller of Brocade Communications Systems, Inc. in connection with litigation and SEC and DOJ investigations related to stock option issues. The representation of numerous public companies in connection with shareholder class actions alleging violations of securities fraud. The representation of public company board members in connection with shareholder derivative litigations. The representation of a mutual fund company in a market timing investigation by the New York Attorney General's Office and the SEC. The representation of a former chief financial officer in a widely publicized financial and accounting fraud litigation including multiple securities class actions, derivative suits, ERISA cases, Congressional hearings and SEC proceeding arising from a public company's multi-year restatement of financial statements. Before joining the firm, Ms. Ross was a securities litigation associate at Clifford Chance US LLP ( ) and at Brobeck, Phleger & Harrison LLP ( ). Amy Ross Page 1

5 Admitted in California Court Admissions United States Court of Appeals Ninth Circuit United States District Court Northern District of California Memberships State Bar of California American Bar Association Amy Ross Page 2

6 Noah B. Perlman Noah Perlman is a Managing Director and the Global Head of Special Investigations for Morgan Stanley s Legal and Compliance Division. In that capacity, he conducts and supervises internal investigations for all of the company s business units and represents the Firm in criminal and regulatory inquiries. Mr. Perlman s group also issues and tracks sales practice related discipline for the Firm s retail brokerage employees and oversees the Firm s compliance with various regulatory reporting requirements. Mr. Perlman joined Morgan Stanley in 2006 after serving as Counsel to the United States Drug Enforcement Administration s New York Division. During his tenure at DEA, Mr. Perlman provided advice on all criminal, operational, civil and administrative matters to management and approximately one thousand law enforcement officers, investigators and intelligence analysts located in nine offices throughout New York State. Prior to Mr. Perlman s affiliation with DEA, he was an Assistant United States Attorney for the Eastern District of New York where he held several supervisory posts including Deputy Chief of the Narcotics Section and Special Coordinator for Crimes against Children. Mr. Perlman is a graduate of Harvard College and Columbia Law School. He serves as a member of the Board of Visitors for Columbia Law School, a director of the Lucius N. Littauer Foundation and is an executive board member of the Federal Drug Agent s Foundation. He has lectured nationally and internationally on securities and criminal law as well as on internal investigations, including to the Colombian Supreme Court, Dutch prosecutors and judges and to federal and state prosecutors at the U.S. Department of Justice s National Advocacy Center. Mr. Perlman resides in New York City with his wife and two children.

7 Vincent Walden is a Partner specializing in forensic technology, business intelligence and fraud detection analytics. Vincent leads a national team of skilled forensic technology and data mining professionals focused on antifraud compliance programs and corporate internal investigations. With a focus on text analytics, forensic data mining and third party due diligence services, Vincent has over fifteen years of experience handling the information management, forensic analysis and electronic discovery needs for large scale, complex litigations, investigations and proactive anti-fraud and compliance programs, particularly in the financial services industry. Vincent M. Walden, CFE, CPA, CITP Partner Fraud Investigation & Dispute Services Direct: Fax: vincent.walden@ey.com 5 Times Square New York, NY C:\Users\kj6\Documents\Securities Litigation\Vincent Walden_Ernst & Young.doc

8 Directors Roundtable Speaker Bios (short form) David Rosenfeld is Associate Regional Director of the New York Regional Office of the U.S. Securities and Exchange Commission and co-head of the Commission s Enforcement program in New York. He brings a unique perspective to the investigation and prosecution of securities fraud including insider trading. Mr. Rosenfeld was an attorney in private practice, an adjunct professor at Seton Hall Law School and also taught at the University of Virginia. Mr. Rosenfeld graduated from Harvard Law School and received a Ph.D. from Columbia University. William (Bill) White is a partner with Akin Gump Strauss Hauer and Feld and focuses on the representation of corporations and individuals in SEC enforcement investigations, as well as related criminal investigations, internal investigations and securities litigation. Earlier in his career, Mr. White served on the staff of the Enforcement Division of the SEC and led investigations and litigation involving accounting and financial fraud, insider trading, municipal securities, broker-dealer and investment adviser violations and market manipulation. Mr. White is a graduate of Boston College and Pepperdine University of School of Law. Noah Perlman is the Global Head of Special Investigations for Morgan Stanley where he conducts and supervises internal investigations for all of the company s business units and represents the Firm in criminal and regulatory inquiries. Mr. Perlman served as an Assistant U.S. Attorney for the Eastern District of New York from He also served as Division Counsel to the U.S. Drug Enforcement Administration s New York Division. Mr. Perlman is a graduate of Harvard College and Columbia Law School. Vincent Walden is a Partner at Ernst & Young in New York specializing in forensic technology, business intelligence and fraud detection analytics. Vincent leads a national team of forensic technology and data mining professionals focused on anti-fraud compliance programs and corporate internal investigations. Vincent has over fifteen years of experience handling the information management, forensic analysis and electronic discovery for large scale, complex litigations, investigations and proactive anti-fraud and compliance programs, particularly in the financial services industry. Ken Herzinger is a partner with Orrick s Securities Litigation and Regulatory Enforcement Group in San Francisco and is also an alumni of the SEC in New York. Ken s practice focuses on SEC and related criminal investigations and enforcement actions, accounting firm and professional liability representation, securities class actions, M&A litigation and derivative suits. Amy Ross is a partner with Orrick s Securities Litigation and Regulatory Enforcement Group based in San Francisco. Her practice focuses on the representation of public companies, directors and officers in securities class actions, SEC and DOJ investigations and enforcement actions, shareholder derivative actions and actions brought under federal and state securities laws. Amy has extensive experience in litigation involving breaches of fiduciary duty and conducting various types of corporate investigations.