David F. Axelrod Partner Huntington Center 41 South High Street Suite 2400 Columbus, OH 43215 Direct 614.628.4427 Fax 614.463.1108 daxelrod@slk-law.com http://www.linkedin.com/in/axelrodohio David Axelrod is a partner in Shumaker s litigation group, based in the Columbus office, but handles matters throughout Ohio and in all of our offices. His practice concentrates on representing corporations and individuals in legal crises, which may include criminal tax, money laundering, forfeiture, other white collar criminal cases, regulatory enforcement matters and business litigation. David was formerly a director in Deloitte Forensic and Dispute Services, where he co-led and led multi-disciplinary investigative teams in two European countries in what was then the largest Foreign Corrupt Activities Act investigation in history. Prior to Deloitte, he was a partner in the law firm of Vorys, Sater, Seymour and Pease LLP, where he handled both domestic and international matters. While at Vorys, as a special prosecutor for the State of Ohio, he prosecuted the largest Blue Sky securities case in the state s history. David was formerly an Assistant United States Attorney for the Southern District of Florida and Trial Attorney for the Tax Division, Criminal Section, of the United States Department of Justice. Upon graduation from law school, he was a law clerk for United States District Judge David Porter, in Cincinnati, Ohio. Practices Litigation Appellate Corporate Compliance Federal Court Litigation Taxation Data Breach Assistant K.C. Klusty Direct 614.628.4420 Fax 614.463.1108 kklusty@slk-law.com Education J.D., American University Washington College of Law, 1978 Law Review, Staff Member, 1976-1977; Senior Editor, 1977-1978 B.A., with honors, Political Science, University of Cincinnati, 1975 Bar and Court Admissions Ohio New York New Jersey United States Tax Court Second Circuit Sixth Circuit Eleventh Circuit United States District Court Southern District of Ohio United States District Court Southern and Eastern Districts of New York Representative Matters Conducted an internal investigation for a public company into unlawful transactions with Cuban entities through subsidiaries in Canada and Spain. Assisted the company in making voluntary disclosures to the U.S.Department of Justice, the Office of Foreign Assets Control and the Securities and Exchange Commission. As a result, no enforcement action taken against the company or any of its directors, officers or employees. Represented a physician who was a target in a multi-year health care fraud investigation involving allegations of false diagnoses and billing fraud.client avoided indictment and the statute of limitations has expired.all other known targets have been indicted and entered agreements to plead guilty. As a special prosecutor for the State of Ohio, prosecuted the largest state.
securities fraud case in the history of the state, culminating in a trial lasting almost six months with verdicts of guilty on hundreds of counts of securities fraud. Successfully represented a multi-billion dollar company in a customs investigation involving suspected double invoicing to evade duties, conducted an internal investigation and persuaded the government not to take enforcement action against the company or any of its directors, officers or employees. Successfully represented a multi-billion dollar company in False Claims Act and government investigations involving alleged transshipment of merchandise in violation of U.S. Customs laws and conducted an internal investigation which led to a successful outcome. Successfully prosecuted grievances against two judicial candidates, including hearings before the Ohio Supreme Court s Board of Commissioners on Grievances and Discipline. One resulted in the candidate being fined, ordered to pay attorney fees and reprimanded.the other resulted in the candidate being fined and ordered to pay attorney fees.penalties affirmed by the Ohio Supreme Court. Briefed and argued precedent-setting case, reversing the district court and establishing that a lawyer s failure to identify the party for whom he made currency deposits caused the financial institution to file false currency transaction reports and therefore was an indictable offense. Honors AV Preeminent Peer Review Rated by Martindale-Hubbell Best Lawyers in America, 2015-2016 Ohio Super Lawyer by Super Lawyers magazine, 2004-2006, 2010-2016, Top 100 Ohio and Top 50 Columbus, 2015 Who's Who in American Law (9th Edition) Professional and Community Affiliations American Bar Association Columbus Bar Association Columbus Bar Association, Chair, Audit Committee (member, 2008 - present) Liaison between American Bar Association Criminal Justice Section and White Collar Crime Project of the National Association of Criminal Defense Lawyers COSI, Community Board, 2014 - present Jewish Family Services, Counsel to the Board, 2013 - present Temple Israel, Board of Trustees, 2009-2015 Life Member, Judicial Conference of the U.S. Court of Appeals for the 6th Circuit Jewish Family Services, Board of Trustees, 2009-2013 Columbus Jewish Day School, Board of Trustees, 2003-2010 Member, United States Sentencing Commission Practitioners Advisory Group, 1992-2006 Adjunct Professor, The Ohio State University Moritz College of Law, Winter 2005-2006 Chair, Committee on Civil and Criminal Tax Penalties, American Bar Association Tax Section, 1999-2001 (presently co-chair, Subcommittee on Money Laundering and Asset Forfeiture) News Releases Shumaker, Loop & Kendrick, LLP Attorneys Named to 2016 Ohio Super Lawyers and Ohio Rising Stars David Axelrod Recognized in Ohio Super Lawyers Top Lists
Shumaker, Loop & Kendrick, LLP Attorneys Named to 2015 Ohio Super Lawyers and Ohio Rising Stars 83 Shumaker, Loop & Kendrick, LLP Lawyers Selected for Inclusion in The Best Lawyers in America 2015 Shumaker, Loop & Kendrick, LLP Attorneys Named to 2014 Ohio Super Lawyers and Ohio Rising Stars Publications "A Rock and a Hard Place: Don t Become a Client s Surrogate in Communicating With the Government," American Bar Association, White Collar Crime Committee Newsletter, Winter 2013 "Violating Federal Regs Can Have Criminal Consequences" "Criminal Law Places Corporations at Odds with Employees (Second of a Series)," Columbus Business First "IRS Renews Offshore Account Voluntary Disclosure Initiative" "IRS Reportedly Threatens to Challenge the Use of Kovel Accountants in Criminal Tax Cases" "Offshore Accounts in the Bullseye: IRS Targets Customers at 20 More Swiss Banks" "Clock is Ticking for Offshore Account Voluntary Disclosures" "Swiss Court Ruling May Scuttle U.S./Swiss Accord" "Swiss Legislature Approves Deal for Disclosure of Secret Accounts, Raising Stakes for U.S. Customers of Swiss Banks" "Parallel IRS (and Other) Civil and Criminal Proceedings Now Intersect" "Foreign Corrupt Practices Act: Why It Matters to Ohio Businesses," Columbus CEO Magazine "First Circuit Decision May Narrow Work-Product Protection," The Daily Reporter - Columbus Bar Friday "Conflict of Interests: EU Data Protection Statutes and US Corporate Investigations," The Champion "Duke Case Shows Need to Reassess the Broad Powers Afforded to Prosecutors," Columbus Dispatch OpEd "Electronic Records Getting a Grip on Litigation Holds," Business Crimes Bulletin, (co-author) "Getting Up to Speed on e-discovery: Avoiding Unpleasant Surprises in Future Litigation," Deloitte Financial Advisory Services White Paper "New Rules for Electronic Records?" Business Crimes Bulletin, (co-author) "Opening Pandora's Box: Locating Electronic Documents to be Produced in Discovery," ABA 2006 National Institute on White-collar Crime "Scales of Justice Tipping Toward Prosecution," Columbus Dispatch OpEd "The Best Defense Against Regulatory Action is an Effective Compliance Program," Metropolitan Corporate Counsel "Guidelines Toughened for Fighting Illegal Acts," Columbus Business First "Stewart Case Underscores Sentencing Guideline Flaws," Columbus Dispatch OpEd "What You Should Know About Obstruction of Justice," Ohio State Bar Association News You Can Use "Obstruction of Justice Takes Many Forms," Ohio State Bar Association News You Can Use "Obstruction of Justice: Definitions, Penalties," Columbus Daily Reporter "Putting Stewart on Stand Would Have Been Iffy," Columbus Dispatch "A Few Observations About Compliance Recordkeeping: Between a Rock and a Hard Place," Georgetown University Advanced State & Local Tax Institute "White-collar Offenders' Most Frequently Asked Questions [or, "You Can't Win Them All"]," The Champion
"Sending a Carbon Copy to the Government: The Duty to Search for Electronic Documents," ABA 2003 National Institute on White-collar Crime "Corporate Compliance After Enron: Know the Federal Sentencing Guidelines," Columbus CEO "The "New" Tax Laws - 26 U.S.C. Section 7212(a) and the One-Person Conspiracy," ABA 2002 National Institute on White-collar Crime "The Role of the Internet in the Investigation and Defense of White-collar Cases," ABA 2002 National Institute on White-collar Crime "Local Attorney Warns Business Owners: Know Your Customer," Columbus Daily Reporter "Hard Times With Hard Drives: Paperless Evidence Issues That Can't Be Papered Over," The Champion "The Sentencing Guidelines for Organizations: Still Writing on a Clean Slate," Corporate Counsel magazine, three part series, September, October and November 2000 "Insufficient Discovery and Inadequate Hearings: A Proposal to Cure Current Shortfalls in the Federal Sentencing System," Federal Sentencing Guidelines Reporter "Starr Risks Being Branded a Heel in History," Columbus Dispatch "Crime Doesn't Pay - But Counsel May (What Every Practitioner Needs to Know About Criminal Exposure in the Everyday Practice of Law)," Corporate Counsel's Quarterly, January 1994 and ABA Criminal Justice Magazine, Fall 1993 "Anti-Money Laundering Enforcement in the Heartland: Ohio's Example," CompliNet "Criminal Law in the Boardroom: Corporate Officers Become Police Officers," CEO Magazine "Extraterritorial Jurisdiction in Asset Forfeiture Cases: United States v. Swiss American Bank," Money Laundering Law Report Events and Presentations Columbus Seminar - How Will Legalized Marijuana Affect My Business? "Litigation Management for In-House Counsel" "Crisis Management" "Cost Effective Compliance" "Ask the Experts: Top Criminal Tax Practice Tips and Representation Strategies" "Public Corruption: The Nuts and Bolts of Federal Law," Ohio Lobbying Association "Bank Secrecy, Tax Havens and Trends Toward Transparency: Liechtenstein and Beyond," "The New Age of Corporate Liability / Corporate Compliance - The Good, The Bad and The Ugly," American Bar Association Criminal Justice Section, White Collar Crime Committee, Midwest-Ohio Region "Parallel IRS (and Other) Civil and Criminal Proceedings Now Intersect," American Bar Association Tax Section, Committee on Civil and Criminal Tax Penalties "Foreign Assets: From Voluntary Disclosure to FATCA," American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies "Money Laundering, Forfeiture, and Restitution: Show Us the Money!" American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies "Global Business Confidential - Data Privacy Issues in Cross-Border Investigations and Litigation," American Bar Association, Business Law Section "Electronic Discovery in Criminal Trials," American Bar Association National Institute on White-collar Crime "Foreign Corrupt Practices Act: Compliance Programs and Red Flags," Director's Roundtable Conference on International Regulation of Trade
"Foreign Corrupt Practices Act: Emerging Trends in Compliance Technologies," Institute of Internal Auditors, Northeast Ohio Chapter "Self-Protection for Attorneys: Legal and Ethical Dilemmas in Defending Money Laundering Cases," American Bar Association Tax Section, Committee on Civil and Criminal Tax Penalties "Current Trends in Financial Statement Fraud," Association of Corporate Counsel - Southwest Ohio Chapter "Foreign Corrupt Practices Act 2008: The Nuts and Bolts of Conducting an Internal Investigation," Practicing Law Institute "E-Discovery: Federal Rules of Civil Procedure and Their Implications for Public Sector Corrections Departments," Corrections Technology Association "Technology In and Out of the Courtroom: Document Gathering, Review & How to Prepare for Trial," American Bar Association National Institute on White-collar Crime "Anti-Money Laundering Compliance, Politically Exposed Persons and AML Insurance Regulations," American Bar Association Tax Section, Committee on Civil and Criminal Tax Penalties "Prosecution and Defense of Money Laundering Cases," Continuing Legal Education Options Network, Master Advocate's Institute Series "Role of the Forensic Accountant During a Criminal Investigation," American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies "Houston, We Have a Problem: Requests for E-Discovery," American Bar Association National Institute on White-collar Crime "Corporate Compliance Institute 2005, Educating the Board on Compliance-Related Responsibilities," Practicing Law Institute "Electronic Evidence and Discovery," American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies "Corporate Compliance Institute 2004, Impact of Sarbanes-Oxley & Other Recent Developments on Compliance," Practicing Law Institute "Ethical Problems Facing the Criminal Defense Lawyer," American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies "Corporate Compliance Institute 2003, Experience from the Trenches - Practical Advice on Implementing Compliance Programs," Practicing Law Institute "Dealing with the Bureau of Prisons: Preparing a Client for Incarceration," American Bar Association National Institute on Criminal Tax Fraud and Tax Controversies