Walter F. Brown Jr. Profile. Practices. Education. Honors. Partner White Collar, Investigations, Securities Litigation & Compliance.

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1 Partner White Collar, Investigations, Securities Litigation & Compliance San Francisco (415) Profile Walter F. Brown, Jr., a partner in the San Francisco office, is a seasoned trial lawyer and the Practice Group Leader of Orrick's White Collar Criminal Defense & Corporate Investigations group. His practice focuses on white collar criminal defense, securities litigation and complex business litigation. He represents companies and individuals in connection with criminal and regulatory investigations, as well as parallel civil and administrative proceedings. He has extensive experience in cases involving securities fraud, antitrust offenses, the Foreign Corrupt Practices Act, health care fraud, public corruption, government fraud and environmental crimes. Mr. Brown also is engaged routinely by public and private companies, and by audit and special committees of boards of directors, to conduct internal investigations. Mr. Brown is a member of Orrick's Management Committee and served on Orrick's Board from 2010 to Practices White Collar & Corporate Investigations Education J.D., University of Notre Dame Law School, 1985 A.B., University of California, Berkeley, 1982 Honors Before joining Orrick, Mr. Brown served as an Assistant United States Attorney in the Criminal Division of the United States Attorney s Office for the Central District of California (Los Angeles), where he specialized in white collar criminal matters. During that time, he tried 20 felony cases to verdict in United States District Court and handled numerous appeals before the United States Court of Appeals for the Ninth Circuit. Since 2005, Mr. Brown has been selected by Chambers USA as one of America s Leading Lawyers in the area of White-Collar Crime and Government Investigations. The current online edition of Chambers USA presents Mr. Brown and Orrick s White Collar practice in California in Band 1, the publication s highest ranking. Interview sources have described him as "outstanding," "excellent" and "a star," a highly qualified, energetic and active practitioner, who has built a fantastic practice in the white-collar sphere. One peer attests that for corporate investigations, he is one of the best lawyers in the state. Another noted: "He is a very talented lawyer. He is capable and savvy." The National Law Journal named him one of the nation s top litigators ("Winning" June 5, 2006). He also was featured as a top white collar attorney in the February 2006 issue of Recommended by The Legal 500 United States (White-Collar Criminal Defense) 2015 Designated a "National Litigation Star" by Benchmark Litigation, 2015 edition Band 1 ranking by Chambers USA in California, White Collar Crime & Government Investigations. Recognized as a leader from 2005 to present. Northern California Super Page 1

2 CFO Magazine. Engagements Some of his notable representations include the following. Representative Securities Matters: Representation of the former President of Countrywide Financial Corporation in connection with investigations by and litigation with the SEC and the California Attorney General, and related class action and derivative litigation. Representation of the former CFO of McKesson Corporation in connection with criminal securities fraud charges by the Department of Justice, arising out of US$9 billion market cap loss following an earnings restatement. After a six-week trial, the client was acquitted on all counts in the indictment. Representation of multiple Board special committees in connection with internal investigations arising out of stock options issues. Representation of former senior officer of subprime mortgage lender in connection with DOJ investigation of securitization practices. Representation of public company in connection with internal investigation of alleged insider trading allegations relating to Galleon. Representation of Director of Research of institutional money manager, AXA Rosenberg, in connection with SEC investigation of nondisclosure of errors in quantitative investment process, resulting in first ever individual cooperation agreement under SEC s cooperation policy. Representation of various hedge funds in connection with investigations by the Department of Justice, Securities and Exchange Commission, New York Attorney General and NASD concerning "market timing" and "late trading" in mutual funds. Representation of the former Controller of Brocade Communications in connection with DOJ and SEC investigations, and derivative litigation, arising out of stock options issues. Representation of former Chief Operating Officer of KLA Tencor in connection with investigations by SEC and DOJ, and derivative litigation, arising out of stock options issues. Representation of President of private equity portfolio company in connection with SEC investigation involving alleged insider trading. Representative Health Care Matters Lawyer, 2006 to present Winner of a 2013 International Law Office "Client Choice Award" Named one of the nation's top litigators by The National Law Journal ("Winning" article) Recognized as a top white collar attorney, CFO Magazine Thomas J. White Scholar Lead Articles Editor, Notre Dame Journal of Law, Ethics & Public Policy Memberships Board of Governors - Association of Business Trial Lawyers, Northern California Chapter (2014- present) American Bar Association: Litigation and Antitrust Sections, Criminal Justice Section, White Collar Crime Committee State Bar of California: Antitrust and Unfair Competition Section State Bar of Arizona Notre Dame Law School Advisory Council (April 2014 to present) Representation of home oxygen and sleep therapy company in connection with Medicare fraud investigation by DOJ. Board of Directors - Notre Dame Law Association Page 2

3 Representation of former executives and employees of a Fortune 100 pharmaceutical company in connection with off label marketing investigation by DOJ, and related civil proceedings, concerning heart failure drug. Representation of former Vice President of Regulatory Affairs of medical device company in connection with DOJ investigation concerning falsification of test results. Representation of the executives and employees of InterMune, Inc., in connection with investigation and prosecution by the San Francisco United States Attorney's Office concerning off label marketing of pulmonary drug. Representation of executive of shipping company in connection with DOJ investigation of online pharmacies. Representation of the Vice President of Clinical Affairs of a medical device company in connection with DOJ investigation concerning off label marketing of medical devices. Representation of a durable medical equipment company in connection with investigation by the California Attorney General concerning billing practices. Representation of former General Counsel of Medical Device company in connection with investigation by DOJ concerning off label promotion of medical device. ( present) Co-chair of the ABA Criminal Justice Section White Collar Crime Northern California Regional Subcommittee ( ) Executive Board, Bar Association of San Francisco Criminal Justice Section ( ) Representative Antitrust Matters Representation of executives of Korean DRAM manufacturer in connection with price-fixing investigation by DOJ Antitrust Division. Representation of Taiwanese automobile lighting manufacturer in connection with price-fixing investigation by DOJ Antitrust investigation. Representation of former executive of Japanese LCD manufacturer in connection with price-fixing investigation by DOJ antitrust Antitrust Division., Representation of an international bridge construction company in connection with DOJ Antitrust Division investigation of bid rigging allegations involving cable-stayed bridges. Representation of multiple executives of Japanese auto parts manufacturer in connection with price-fixing investigation by DOJ Antitrust investigation. Representation of senior officer of technology company in connection with DOJ Antitrust Division investigation of bid rigging allegations involving multi-state payment processing contracts. Representative FCPA matters: Page 3

4 Representation of the audit committee of a telecommunications company in connection with internal investigation, and related SEC and DOJ investigations, concerning alleged violations of the Foreign Corrupt Practices Act in China, India, Mongolia, Vietnam and Thailand. Counsel to DOJ/SEC Compliance Monitor in connection with deferred prosecution agreement involving global medical device company arising out of FCPA violations in Greece. Representation of Controller of pharmaceutical company in connection with FCPA investigation by DOJ and SEC. Other Significant Matters Representation of the CEO and other senior corporate officers of Solyndra, Inc., in connection with investigations by the DOJ and the United States Congress. Representation of a Fortune 500 energy company in connection with investigations by the Department of Justice Enron Task Force, Securities and Exchange Commission, Commodity Futures Trading Commission and Federal Energy Regulatory Commission arising out of California's energy crisis. Representation of public utility in connection with DOJ investigation of alleged Pipeline Safety Act violations, arising out of explosion of natural gas transmission pipeline. Representation of senior executive of mortgage lender in connection with DOJ bank fraud investigation. Representation of placement agent firm in connection with SEC and New York Attorney General pay to play investigation. Representation of foreign national in connection with DOJ indictment alleging conspiracy to misappropriate corn seed germplasm. Representation of audit committee of technology company in connection with phishing intrusion and fraudulent wire transfers. Speeches "Key Issues Facing Boards of Directors: New SEC & DOJ Enforcement Initiatives and Corporate Governance Risk," Los Angeles Directors Roundtable. Admitted In California Court Admissions United States Court of Appeals Page 4

5 Ninth Circuit United States District Court Central District of California District of Arizona Eastern District of California Eastern District of Wisconsin Northern District of California Page 5