Whether in litigation, consultation or investigations, Justin
leverages deep understanding of his clients’ unique goals and challenges to achieve
Justin has represented individuals, corporations and public entities in connection with DOJ and SEC investigations, and investigations by district attorneys offices. He has also managed corporate internal investigations relating to accounting fraud, harassment, securities laws and the Foreign Corrupt Practices Act.
Prior to attending law school, Justin served on active duty for nine years in the United States Air Force. He is currently a lieutenant
colonel in the Air Force Reserve.
Justin’s notable engagements include the following:
- Served on the Monitor Team for an FCPA Monitorship of a banking technology company.
- Represented a public entity under investigation by the SEC for alleged accounting improprieties.
- Managed numerous internal investigations on behalf of a Fortune 50 company involving allegations of accounting fraud, kickbacks, inventory manipulation and violations of the FCPA.
- Represented a Fortune 50 health care company under investigation by the United States Department of Justice.
- Advised a high-tech company on the potential impacts of the Foreign Intelligence Surveillance Act and Electronic Communications Privacy Act on a new cloud computing product line.
- Represented an individual summoned for questioning by the Federal Bureau of Investigation related to an investigation into alleged illegal campaign contributions.
In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be prepared to answer about their program. Although some reported these questions provided limited, if any, new information, we see it differently. The guidance offers companies an unusually detailed roadmap for building or assessing their compliance program when it is explored in conjunction with past guidance.
This is the first in a series of posts where we will explore key topics for companies of all sizes from the questions posed within the recent guidance.
A commitment from high-level management is typically the first compliance component discussed in government guidance and Deferred Prosecution Agreements. Commonly referred to as “Tone at the Top,” this critical concept has previously been described in vague, generic ways. See, for example, this excerpt from Attachment C of DOJ’s recent DPA with Embraer S.A., which is identical to language in many other agreements:
“The Company will ensure that its directors and senior management provide strong, explicit, and visible support and commitment to its corporate policy against violations of the anti-corruption laws and its compliance code.”
According to a report in the Wall Street Journal, the acting Chairman of the Securities and Exchange Commission has centralized authority to issue formal orders of investigation – a critical authority that triggers the ability of SEC staff attorneys to issue subpoenas. The move, which was not publicized by the SEC, would curb existing powers of the Commission’s enforcement staff.
Since 2009, the power to issue formal orders of investigation had been “sub-delegated” to about 20 senior attorneys within the SEC’s Enforcement Division. However, according to the Journal report, acting SEC Chairman Michael Piwowar ordered the authority to be centralized exclusively with the Director of Enforcement. READ MORE