1 White Collar Criminal Defense & Internal Investigations Practice Practical Wisdom, Trusted Advice.
2 Locke Lord s White Collar Criminal Defense & Internal Investigations Practice has an unparalleled and unique group of lawyers, including two former U.S. Attorneys, with major case experience who provide vital representation to clients during regulatory action, investigations, and litigation related to their companies. Locke Lord is entrepreneurial in recognizing the need for a White Collar Practice to help clients navigate within today s highly regulated business environment. Our experienced and diverse team represents corporations, its officers and employees in White Collar criminal matters and internal investigations. Our White Collar lawyers counsel clients around the United States and throughout the world in some of the most highly regulated industries including energy, health care, environmental, insurance and banking. Paul Coggins, Co-Chair of the Firm s White Collar practice, and Tim Johnson are both former U.S. Attorneys who ran two of the largest offices in the United States. Steve Huggard, Co-Chair of the Firm s White Collar practice, served for four years as Co-Chief of the Public Corruption & Special Prosecutions Unit of the U.S. Attorney s Office, District of Massachusetts. In addition, we have former SEC Commissioner Roel Campos, and other former members of the SEC, who can navigate clients through the most complex legal issues using their years of experience from working inside the government. Our lawyers have years of experience in the Foreign Corrupt Practices Act (FCPA), antitrust enforcement, public corruption, health care fraud, export and import criminal violations, bank fraud, commercial bribery, money laundering, forfeitures and computer fraud. We strive to investigate and thoroughly understand the nuances of each case, working to resolve matters before criminal charges are ever filed. Our White Collar lawyers work closely with Firm lawyers in other specialties to ensure a full service approach to these traditionally controversial and sometimes high profile cases. We help clients with grand jury investigations, public relations, and strategic planning all the way through to aggressive courtroom defense, if necessary. The depth of our internal investigation experience covers a broad range of topics, including financial accounting, federal securities laws and regulations, transactions with related parties, FCPA violations, regulatory compliance and shareholder derivative demands. 1 WHITE COLLAR
3 Paul Coggins and White Collar Practice Co-Chair Dallas KEY PRACTICE GROUP CONTACTS Paul Coggins was the U.S. Attorney for the Northern District of Texas from His practice focuses on White Collar criminal defense, and he has represented numerous Fortune 500 clients in high stakes litigation before federal courts and the SEC. Some of his achievements include prosecuting one of the first federal three strikes and you re out cases in the United States; prosecuting a complex case brought under the federal Economic Espionage Act; stamping out one of the United States largest immigrant smuggling rings; building one of the United States first health care fraud task forces; prosecuting the first anthrax-hoax case in the United States; and representing the State of Texas in a massive 20-year-old class action lawsuit that he helped bring to settlement. Mr. Coggins conducts internal investigations involving alleged tax fraud and securities violations. In addition, he develops compliance and ethics programs for public bodies, corporations and other business entities. Stephen G. Huggard and White Collar Practice Co-Chair Boston Steve Huggard represents businesses and individuals in criminal and complex civil litigation, with a focus on White Collar criminal defense and is experienced at conducting complex internal investigations, both in the United States and overseas. He regularly represents clients before the Securities and Exchange Commission and the Department of Justice. He also advises several publicly-traded companies on FCPA matters and has conducted training for those clients domestically and internationally. After 17 years as a prosecutor with the Department of Justice, Mr. Huggard applies his considerable experience to assisting corporations and executives with any government inquiries or internal investigations. Before joining the firm, he served for four years as Chief of the Public Corruption & Special Prosecutions Unit at the U.S. Attorney s Office, District of Massachusetts, overseeing some of the most complex investigations in the office. Mr. Huggard was one of the few Assistant U.S. Attorneys in Boston selected to work around the clock investigating the attacks of September 11. He also headed the federal inquiry into the Catholic Church sex abuse scandal. Prior to becoming Chief, he was part of the Economic Crimes Unit, where he prosecuted complex tax, health care fraud and investment fraud cases. Tim Johnson Houston Tim Johnson is head of the Firm s White Collar Criminal Defense and Internal Investigations practice in the Houston office and a former U.S. Attorney for the Southern District of Texas. He represents corporate clients in criminal matters and is a frequent lecturer on FCPA and other areas of federal criminal interest. As U.S. Attorney from , Mr. Johnson led one of the largest U.S. Attorney s offices in the United States which investigated and prosecuted corrupt public officials and law enforcement officers, online child predators, violent and repeat offenders, organized crime involving immigration and narcotics violators, firearms smugglers and White Collar offenders engaged in fraudulent activity ranging from identity theft, Medicare, Medicaid, and FEMA fraud to mortgage fraud and environmental crimes. In civil litigation, he led the office to secure large settlements in a number of False Claims Act matters and represented the United States in the border fence litigation. WHITE COLLAR 2
4 Mr. Johnson was First Assistant U.S. Attorney from after almost two decades of being in private practice where he represented individuals and corporations in matters before the United States and its various agencies. From , he was a special agent with the Intelligence Division and later the Criminal Investigation Division of the IRS. Roel Campos Washington, D.C Roel Campos is the National Chair of Securities Regulation and Enforcement at Locke Lord. He was twice appointed by President George W. Bush and confirmed by the U.S. Senate as a Commissioner of the Securities and Exchange Commission ( SEC ) where he served from 2002 to During his time on the Commission, Mr. Campos was liaison to the international regulatory community and became well known among international regulators. Mr. Campos also served until 2013 on President Barack Obama s Presidential Intelligence Advisory Board, the oldest and one of the most prestigious of the Presidential citizens advisory boards. Earlier in his career, Mr. Campos was a federal prosecutor in Los Angeles. As a Commissioner for the SEC, Mr. Campos presided over hundreds of complex enforcement cases applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of Andrew L. Fish New York Andrew Fish is an experienced trial attorney who served for 14 years as a federal prosecutor in the U.S. Attorney s Office for the Southern District of New York. As an Assistant U.S. Attorney, Mr. Fish investigated and prosecuted a wide array of federal securities fraud offenses and coordinated parallel civil proceedings with the SEC. He was deputy chief appellate attorney and a member of the Securities and Commodities Fraud Task Force. He was lead counsel in 13 federal jury trials to verdict. Mr. Fish has appeared regularly before the U.S. Court of Appeals for the Second Circuit, where he represented the United States in several significant insider trading cases. C.W. (Peter) Flynn Of Counsel Dallas Peter Flynn has worked on behalf of public companies and broker-dealers in the area of securities litigation for the past 30 years. He was formerly an attorney with the Trial Unit of the SEC s Division of Enforcement in Washington, D.C. He has substantial experience defending securities class action suits and has represented companies and individuals in SEC and other regulatory investigations. Mr. Flynn also is experienced in securities and commercial arbitration, and he has represented clients in arbitration proceedings before panels of FINRA and the American Arbitration Association. 3 WHITE COLLAR
5 John B. Hall Houston John Hall represents a wide range of clients in White Collar criminal matters involving the FCPA, bank fraud and other economic crimes. He also conducts internal investigations relating to possible options backdating and other possible securities violations. Mr. Hall represents clients on matters in the oil and gas industry including disputes relating to oil and gas production and processing, qui tam litigation, offshore operating agreements and other contractual disputes. Terence Healy Washington, D.C Terence Healy is an experienced trial lawyer whose practice focuses on representing institutions and individuals in matters against the Securities and Exchange Commission ( SEC ), Department of Justice ( DOJ ), Commodity Futures Trading Commission ( CFTC ), and other financial regulators. Both in private practice and with the SEC and DOJ, he has represented clients before trial and appellate courts throughout the country and has been lead counsel in numerous complex matters tried to verdict. He has also led investigations on behalf of audit committees and special committees of public companies into securities fraud and related issues. As Senior Assistant Chief Litigation Counsel for the SEC, Mr. Healy represented the Commission in cases related to accounting fraud, revenue recognition, options backdating, insider trading, FCPA, structured products, and other issues. He worked closely with the Enforcement Division s investigative staff in determining the scope of investigations and in making charging recommendations. He also supervised a team of seven first-chair SEC trial lawyers. Gregory C. Hill Houston Greg Hill works on corporate governance matters, including the representation of boards of directors, audit committees and special committees. He has conducted numerous internal investigations for public companies which have addressed the FCPA and other violations of law, back-dating of stock options, accounting issues, misconduct by management, fraud and other matters. WHITE COLLAR 4
6 Michael H. King Chicago Mike King has more than 35 years of experience representing companies and individuals in criminal and regulatory investigations and proceedings. He has been involved in numerous trials, grand jury and internal and regulatory investigations throughout the United States and in numerous countries around the world dealing with FCPA, antitrust, fraud, money laundering, product liability, UK Bribery Act and other issues. Additionally he has handled government contract fraud investigations and alleged improper export of restricted military equipment investigations conducted of the US State Department and the DOD. He has also participated in proceedings before the UK Serious Fraud Office and other non-us regulatory and investigatory agencies. He has also handled first chair responsibilities in numerous trials and litigation which were related to various governmental investigations including multiple major antitrust class actions and numerous MDL proceedings. Mr. King began his career as a Special Attorney with the US Department of Justice Organized Crime and Racketeering Section and served with the Chicago Strike Force. He also served as an Assistant U.S. Attorney for the Northern District of Illinois (Chicago). He was appointed by then Gov. James R. Thompson to serve as Chairman of the Board of Commissioners of the Illinois Appellate Defender. Berne C. Kluber Houston Berne Kluber specializes in international trade transactions and helping clients comply with international trade laws and regulations. Whether buying or selling internationally, U.S. companies and their subsidiaries must comply with U.S. trade laws such as the Export Administration Regulations ( EAR ), the International Traffic in Arms Regulations ( ITAR ), U.S. economic sanctions regulations, trade embargos, customs laws, and anti-corruption laws such as the FCPA and the UK Bribery Act of Mr. Kluber uses his background in these areas to help clients implement practical compliance programs that fit their business model. When problems occur, his experience with internal investigations helps his clients find, fix and resolve the problems quickly and efficiently. Richard J. McCarthy Of Counsel Boston Richard McCarthy served as Assistant U.S. Attorney in the Southern District of New York and as Deputy Chief Counsel to the Massachusetts Special Commission Concerning State and County Buildings (the Ward Commission). He practices in insurance, government and business litigation and White Collar criminal defense, with emphasis on complex government, commercial, corporate and technology litigation, antitrust, and federal fraud cases. Kiprian Mendrygal Dallas Kiprian Mendrygal has represented a number of public companies, private entities and highprofile individuals before most major state and federal law enforcement and investigative agencies, including the Texas Attorney General, the IRS, the FBI, the DEA, the FDA, the FDIC, the Texas Department of Health, the Department of Health and Human Services, the United States Secret Service, FINRA and the SEC. Mr. Mendrygal represents clients who have been 5 WHITE COLLAR
7 involved in a variety of confidential and highly sensitive investigations, including those with allegations of counterfeiting, money laundering, insider trading, violations of state and federal Anti-Kickback statutes, violations of the Foreign Corrupt Practices Act, perjury, bribery of public officials, misappropriation of public funds, wire/mail fraud and a variety of other financial crimes. Mr. Mendrygal also conducts internal investigations for public and private companies, as well as taxpayer-funded entities, involving a wide array of issues, including alleged tax fraud, theft of public funds, financial frauds, and securities violations. Allison O Neil Boston Allison O Neil concentrates her practice on complex commercial litigation and White Collar criminal defense. Her clients include businesses, executives, and professionals in financial services and other regulated industries. She regularly represents companies and individuals on matters before the Securities Exchange Commission and the Department of Justice. Ms. O Neil also has extensive experience in the litigation of employment issues, business torts, contract disputes, and fiduciary duty claims arising in closely-held companies and partnerships. She has successfully briefed and argued cases in the Massachusetts Appeals Court and the Supreme Judicial Court of Massachusetts. With extensive trial experience in a variety of criminal matters in state and federal courts as well as in crisis management and media and government relations, she is uniquely suited to represent clients who face complex civil disputes with related criminal issues, including commercial crimes. As a former Middlesex County Assistant District Attorney, Ms. O Neil prosecuted a wide variety of matters, including fraud, and civil rights cases in Superior Court. Marlon Q. Paz Washington, D.C Marlon Paz concentrates on securities matters, business litigation, White Collar criminal defense and internal investigations. He has extensive experience with complex securities litigation, financial regulation, internal investigations and compliance, including the FCPA and anti-corruption matters. Mr. Paz serves as an Adjunct Professor at Georgetown University. Prior to joining Locke Lord, he was the Principal Integrity Officer of the Inter-American Development Bank, where he led a team of lawyers and investigators in the prosecution of fraud and corruption cases. He also was responsible for compliance procedures relating to issues such as integrity due diligence, anti-money laundering, offshore financial centers and the OFAC List. Mr. Paz served in senior positions at the SEC, where he worked on significant enforcement matters and played a key role in developing the position of the Commission on many regulatory actions. He has particular expertise on issues related to broker-dealers, hedge funds and investment advisers. Priya Sopori Los Angeles Priya Sopori was an Assistant U.S. Attorney in the Central District of California, prior to joining the Firm, where she prosecuted federal cases, involving White Collar crime and fraud, cybercrime, violent crime, crimes against children, drug crime and immigration crime. At the U.S. Attorney s office, she first chaired several multi-week trials in district courts covering a wide range of subjects, from a 900-victim Ponzi scheme to interference with flight crew. She WHITE COLLAR 6
8 argued a wide variety of evidentiary hearings, including probation revocations, CVB (misdemeanor) trials, suppression motions, bond and detention hearings, sentencings and initial appearances. Ms. Sopori also has considerable experience leading grand jury investigations, proffer sessions and witness interviews. Robert M. Stephenson Chicago Robert Stephenson concentrates on litigation matters in the areas of antitrust, corporate and governmental investigations, complex civil and White Collar criminal litigation, corporate crisis management, securities and commodities fraud, insurance, health care and environmental law. After serving as a law clerk for U.S. District Judge Prentice H. Marshall, Mr. Stephenson was an Assistant U.S. Attorney in Chicago, where he received a Special Commendation for Outstanding Service and the Director s Award for Superior Service, one of the highest distinctions awarded by the Department of Justice. Mr. Stephenson represents clients throughout the United States and internationally in litigation and governmental investigations, and he has built a reputation as a strong trial lawyer. He has been a Fellow of the American College of Trial Lawyers since Mr. Stephenson regularly lectures on White Collar crime and corporate governance issues including antitrust, FCPA investigations, official corruption, banking and financial fraud, security law and conducting internal corporate investigations. Kelly Vickers Dallas Kelly Vickers focuses on White Collar criminal defense and internal investigations, complex commercial litigation and securities litigation. She has represented numerous companies and individuals, mostly in federal court and before governmental agencies. In the area of White Collar criminal defense, Ms. Vickers has represented a number of companies and individuals before federal courts and investigative bodies, including the SEC, FEC, IRS and DOJ. In addition, she has conducted and has represented witnesses in connection with internal investigations involving a wide array of issues, including stock back-dating, fraud allegations, including tax fraud, mortgage fraud, wire/mail fraud, commercial bribery, FCPA, environmental issues and securities violations. Ms. Vickers also assists clients with compliance issues related to political and charitable contributions. Atlanta Austin Boston Chicago Dallas Hartford Hong Kong Houston Istanbul London Los Angeles Miami Morristown New Orleans New York Orange County Providence Sacramento San Francisco Stamford Tokyo Washington DC West Palm Beach Locke Lord LLP disclaims all liability whatsoever in relation to any materials or information provided. This brochure is provided solely for educational and informational purposes. It is not intended to constitute legal advice or to create an attorney-client relationship. If you wish to secure legal advice specific to your enterprise and circumstances in connection with any of the topics addressed, we encourage you to engage counsel of your choice. If you would like to be removed from our mailing list, please contact us at either or Locke Lord LLP, 111 South Wacker Drive, Chicago, Illinois 60606, Attention: Marketing. If we are not so advised, you will continue to receive brochures. Attorney Advertising (7115) Locke Lord LLP WHITE COLLAR