Areas of Concentration

Deputy Chair of Hughes Hubbard & Reed LLP
Co-chairman, Anti-Corruption & Internal Investigations practice group
Co-chairman, Securities Litigation practice group
Executive Committee member
Securities and white-collar criminal litigation, enforcement, regulation and counseling with an emphasis on the representation of corporations, individuals and other entities in anti-corruption (including Foreign Corrupt Practices Act [FCPA]) matters (investigations, due diligence and counseling), securities and insurance litigation, regulatory, enforcement and arbitration proceedings, particularly class-action litigation, securities disclosure counseling, and designing and implementing insurance and securities compliance policies, procedures and programs, including in those related to cryptocurrencies
World Bank Group and other international financial institutions sanctions matters, including compliance, inspections, investigations, settlements, cooperation, coordination with monitors, and litigating contested sanctions proceedings
Corporate governance with an emphasis on shareholder derivative proceedings, conducting internal investigations, counseling board committees, and designing and implementing corporate compliance program

Professional Activities

Member, B20 Integrity and Compliance Taskforce, Indonesia 2022
Member, B20 Integrity and Compliance Taskforce, Argentina 2018
Member, B20 Anti-Corruption Taskforce, Germany 2017
Representative, B20 Energy, Climate, & Resource Efficiency Taskforce, 2016
Member, B20 Anti-Corruption Taskforce, China 2016
Member, B20 Anti-Corruption Taskforce, Turkey 2015
Super Lawyers, Criminal Defense: White Collar, 2012 – 2020 (published by Washington Post Magazine)
Faculty member, TRACE Anti-Bribery Specialist Accreditation Program (current)
Steering Committee member, American Bar Association (ABA) International Law Section, Anti-Corruption Committee
Current member, Certification Committee of ETHIC Intelligence International, Paris (First US Member) 2010
Editorial board, eSecurities (Leader Publications), 1998 – 2002
Editorial board, Federal Regulation of Securities, (Lawyers Cooperative Publishing), 1994 – 1997
Member, Market Conduct Committee, American Council of Life Insurers, 1999 – 2001
Board of directors, Holocaust Museum (Houston), 2000 – 2001
Board of directors, Greater Houston Business Ethics Roundtable, 1999 – 2001

Previous Experience

Law clerk, the Honorable Collins J. Seitz, United States Court of Appeals for the 3rd Circuit, 1988 – 1989
Senior vice president and general counsel, corporate and compliance, American General Corp., 1998 – 2001
- Senior officer with staff of over 40, directly responsible for all corporate legal functions and select shared services functions, including securities matters (filings and compliance), mergers and acquisitions, broker-dealer compliance, corporate ethics and responsibility, field audit, insurance holding company matters, privacy compliance, shareholder services, intellectual property and corporate contracting
- Matrix responsibility for entire compliance environment (over 100 people) enterprise-wide (across all four of the company’s operational divisions: life insurance, retirement services, investment management and consumer finance) with responsibility for oversight of compliance policies and procedures, analysis of leading and lagging compliance indicators, and coordination of compliance initiatives and responses to significant regulatory matters. Routinely reported to the Audit Committee of the board of directors of American General Corp. related to securities disclosure issues, corporate governance, compliance and other matters

Recognitions

Recognized in Lawdragon’s 2022 500 Leading Litigators in America, which is the publication’s first guide dedicated exclusively to “those attorneys who excel representing principally corporations and other organizations in litigating claims involving Antitrust, Securities, Financial, M&A, Intellectual Property and Patents, Product Liability, Mass Tort, White Collar, Government Investigations and Energy disputes”
Recognized as one of four Hughes Hubbard attorneys honored to receive Global Investigations Review's (GIR's) "Most Important Development in the Practice or Law of International Investigations" 2020 award on behalf of the firm and its Anti-Corruption & Internal Investigations team for his representation of Airbus in its historic settlement to successfully resolve bribery and corruption allegations
Hughes Hubbard was honored to receive the "Best Provider Collaboration" award at the 2020 American Lawyer Industry Awards for creating a virtual law firm that resolved a record-setting, multijurisdictional corruption case for France-based Airbus that addressed conduct in 16 different countries
Ranked in the FCPA – USA – Nationwide category of the 2021 and 2022 editions of Chambers USA. The 2021 guide calls Abikoff a "A masterful strategic thinker, able to look over the horizon to understand what issues are relevant for a client," and a "serious player in FCPA"
Ranked in the FCPA – USA category of the 2022 edition of Chambers Global
Ranked in the Washington, D.C. edition of Super Lawyers, 2012 – 2020

Published Treatises

“Anti-Corruption Law and Compliance: Guide to the FCPA and Beyond,” Bloomberg BNA (2014, updated 2017)
"The International Perspective: Lessons from US Authorities' Enforcement of the Foreign Corrupt Practices Act," Lissack and Horlick on Bribery and Corruption, LexisNexis Butterworths (2011, updated in 2014 and 2020)
“Corporate Governance: Avoiding and Responding to Misconduct,” Law Journal-Seminars Press (July 2007 and updated semi-annually thereafter)
“Shareholder Derivative Litigation: Besieging the Board,” Law Journal-Seminars Press (1995 and updated semi-annually thereafter)

Other Highlighted Publications

"Chapter 22: Multilateral Development Bank Monitorships," GIR Guide to Monitorships, 3rd Edition, p.353-368 (April 2022) (with Laura N. Perkins, Michael A. DeBernardis, and Christine Kang)
Quoted in "The ACR Guide to Mastering Internal Investigation Interviews: Getting to the Truth and Adapting to the Pandemic," The Anti-Corruption Report (October 2020)
Quoted in "The ACR Guide to Mastering Internal Investigation Interviews: Warming Up," The Anti-Corruption Report (September 2020)
"The Fine Line Between 'Cutting Red Tape' and Throwing Out the Play Book," Corporate Counsel (April 2020) (with Laura Perkins)
Quoted in "Navigating the Coronavirus Crisis for Compliance Professionals: Part 5 – Final Thoughts," FCPA Compliance Report (April 2020)
"There is No COVID-19 Defense to Corruption," The FCPA Blog (March 2020) (with Michael Huneke)
Quoted in "The ACR Guide to Mastering Internal Investigation Interviews: Logistics," The Anti-Corruption Report (February 2020)
Quoted in "Inadequate Post-Acquisition Controls Result in a $950,000 Settlement for Kinross Gold," The Anti-Corruption Report (April 2018)
Longstreth, Andrew “The New Era of FCPA Investigations: Interview with Kevin T. Abikoff,” The Am Law Litigation Daily (Oct. 1, 2009). Available at www.law.com/jsp/tal/digestTAL....
“Limitations on Shareholder Derivative Cases 2008,” in Aspatore Books Instant Awareness Series, Aspatore Books (2008)
“Awakening the Corporate Conscience,” in Inside the Minds: Corporate Governance Law, Aspatore Books (2005)
“Accelerated Disclosure Proposal Encourages Real-Time Provision of Company Filings,” eSecurities 4, no. 1 (April 2002): 4-5
“Disseminating Investor Information: SEC May Embrace New Electronic Delivery Standard,” eSecurities 4, no. 1 (January 2002): 4-5 (Part I) and eSecurities 4, no. 1 (March 2002): 6-7 (Part II)
“The Framework for Leniency - The SEC’s Statement on the Relationship of Cooperation to Agency Enforcement Decisions,” The Corporate Governance Advisor (December 2001)
“Portrait of a Scam and its Victims: Pump and Dump Schemes in Cyberspace: How They Work, Who’s Most at Risk,” eSecurities 2 (June 2000): 3-4
“Corporate Internet Communications: Avoiding Selective Disclosure Liability,” eSecurities 1 (February 1999): 1-2
“The Duty of Corporate Directors to Respond to Allegations or Evidence of Wrongdoing,” The Corporate Analyst 9 (February 1997): 1-37
“The Role of the Comptroller General in Light of Bowsher v. Synar,” Columbia Law Review 87 (1987) no. 1539

Highlighted Anti-Corruption Lectures

“Chief Compliance Officer Certification Requirement with Kevin Abikoff,” Hughes Hubbard and Reed’s All Things Investigations, Podcast, Episode 19, January 23, 2023
“Kevin Abikoff and Laura Perkins on the FCPA & Anti-Bribery Fall 2022 Alert,” Hughes Hubbard and Reed’s All Things Investigations, Podcast, Episode 17, December 12, 2022
"FCPA at 43 with Kevin Abikoff of Hughes Hubbard with Host Richard Levick," The Weekly – Legal Podcast, September 21, 2020
"Crisis Management Hypothetical: How to Handle a Real World FCPA Problem," The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2021, Practising Law Institute (PLI), September 4, 2020
"FCPA Compliance Report – Kevin Abikoff and Aline Osorio on Distribution of Proceeds from ABC Enforcement Actions," Episode 479, Podcast, June 1, 2020
"Abikoff and Huneke on Corruption Enforcement During the Coronavirus Crisis," Compliance Podcast Network, Podcast, April 14, 2020
"The 2019 Anti-Bribery Landscape: Trends, Developments and Updates," The Knowledge Group, webinar, January 8, 2019
"A Conversation with Kevin Abikoff Regarding FCPA Compliance Challenges and Other Developments," The FCPA Professor, FCPA Flash Podcast, December 11, 2018
"Private Sector and Law Enforcement: Constructive Engagement to Counter Corruption," Anti-Corruption Collective Action Conference: Evolution to Revolution, Basel Institute on Governance, Basel, Switzerland, November 14, 2018
"Significant Trends and Updates in Global Anti-Corruption Compliance: What You Should Know and Do," The Knowledge Group, webinar, November 7, 2018
"Growing Landscape of Anti-Corruption Enforcement: What's Old and What's New?" The Knowledge Group, webinar, September 13, 2018
“Investigations and Monitorships: Practitioner Panel," UC Berkeley Law Compliance Academy, Paris, France, July 24, 2018
"FCPA's New Corporate Enforcement Policy: Implications to the Year Ahead," The Knowledge Group, webinar, June 20, 2018
"Financial System and Capital Markets: Legal Challenges and Advice for the Saudi Aramco IPO," Saudi Arabian & Middle East Legal Forum, Washington, DC, February 6, 2018
“Legal Privilege and Lawyer Secrecy,” Hughes Hubbard & Reed and the Paris Bar, France-Ameriques, Paris, October 2, 2017
“Trends and Developments in International Anti-Corruption Enforcement,” Clear Law Institute, webinar, June 29, 2017
“Inside World Bank Investigations and Key Differences with the SEC and DOJ: The Unwritten Rules for Managing New Challenges,” Thirty-Third International Conference on the Foreign Corrupt Practices Act, Washington, DC, November 29-December 2, 2016
“Business Development and FCPA Compliance in Africa: A Blueprint for Navigating Known and Unknown Risk Factors,” 32nd International Conference on the Foreign Corrupt Practices Act, Washington, DC, Nov. 16 – 19, 2015
“Deferred Prosecution Agreements,” 33rd International Symposium on Economic Crime, Cambridge, England, Sept. 6 – 13, 2015
“The US Foreign Corrupt Practices Act (FCPA) and International Anti-Bribery Compliance,” part of the US State Department International Visitor Leadership Program’s Regional Program on “Transparency and Accountability,” administered by the Meridian International Center, Washington, DC, Feb. 26, 2015
“Global Anti-Corruption & Compliance in Mining: Toronto,” Mining Journal, Toronto, Dec. 10 – 12, 2014
“Global Anti-Corruption Compliance and Enforcement: Strategies for Managing the Risks Posed by Third Parties, Business Combinations, and Allegations or Evidence of Misconduct,” Bloomberg BNA, webinar, Oct. 29, 2014
“The Costs of Doing Business,” Legal and Regulatory Conference, Personal Care Products Council, Montreal, May 23, 2013
Moderator, “Planning and Undertaking Effective Risk-Based Third Party Due Diligence: Best Practices for Working within Inhospitable Environments with Lack of Public Records,” C5 Group’s Forum on Anti-Corruption: West Africa Edition, Accra, Ghana, June 19 – 20, 2012
“Mitigating Corruption Risk in the Context of Global Clinical Research” CBI’s Ninth Annual Pharmaceutical Compliance Congress, Washington, DC, Jan. 24 – 25, 2012
“Finding Added Value in Monitorships and Minimizing Collateral Costs of Settlements,” C5 Group’s Fourth Paris Edition on Anti-Corruption, Paris, Oct. 19, 2011
“Conducting an Effective Internal Investigation of Anti-Corruption and Bribery Violations in High-Risk Security Areas,” C5 Group’s Forum on Anti-Corruption, Sub-Saharan Africa Edition, Cape Town, South Africa, Sept. 22, 2011
“Broader Political Law Considerations: The Foreign Corrupt Practices Act,” West LegalEdcenter webinar, July 22, 2010
“Conducting Due Diligence Across The Globe,” International Quality and Productivity Center (IQPC): Defining New Strategies in Global Anti-Corruption for 2009 and Beyond, Washington, DC, Sept. 21, 2009
Conference chair, “The Foreign Corrupt Practices Act: Avoiding Risk in an Era of Increased Enforcement,” BNA Legal Edge Briefing Series, Arlington, VA, April 21, 2009
“Conducting an Effective FCPA Compliance Assessment for Russian and CIS Operations,” Russia and CIS Summit on Anti-Corruption, C5 Group and American Conference Institute, Moscow, March 10, 2009
“Managing Joint Ventures with Local Entities: How to Minimize Risks,” Russia and CIS Summit on Anti-Corruption, C5 Group and American Conference Institute, Moscow, March 11, 2009
“The Foreign Corrupt Practices Act: Latest Developments in Enforcement and Compliance,” New York State Bar Association Annual Meeting, International Section, New York, Jan. 28, 2009
“Current Issues Involving Enforcement of FCPA and Other Anti-Corruption Initiatives,” International Association of Drilling Contractors, Houston, Sept. 4, 2008
“FCPA issues in The Middle East,” Hughes Hubbard & Reed Client Seminar, Sanaa, Yemen, April 2, 2008
“The Evolving World of The Foreign Corrupt Practices Act in Latin America,” Hughes Hubbard & Reed Client Seminar, Miami, March 13, 2008
“Critical Considerations When Conducting International Investigations,” American Conference Institute’s Fifth Annual Corporate Counsel Forum, New York, April 26, 2007
“The Evolving World of The Foreign Corrupt Practices Act in Latin America,” Hughes Hubbard & Reed Client Seminar, Miami, March 15, 2007
“2007 – 2008 Corporate Milestones and Landmark Cases,” Reed Logic Corp. Video Seminars, 2007
“Red Flags and Personal Liability: The Evolving World of FCPA Compliance and Enforcement,” Hughes Hubbard & Reed Client Seminar, Houston, Oct. 19, 2006
“Trends in FCPA Enforcement,” Presentation to Law Department of Texas Corp., Houston, Oct. 5, 2006
“Trends in FCPA Enforcement,” Annual Meeting of the Texas Bar Association, Austin, TX, June 16, 2006
“Roles and Requirements: What Actually Needs to Be Done by May 2, 2006,” American Conference Institute’s Program on Anti-Money Laundering Compliance for Insurance, New York, April 5, 2006
“Responding to Alleged Corporate Misconduct and Fraud,” American Conference Institute’s National Forum on Fraud Risk Management, New York, March 1, 2006
“Shifting Legal Sands: Growing Pressure on Early Cooperation Settlement and Waiver in Enforcement Actions and Prosecutions,” Association of Life Insurance Counsel, 2005 Annual Meeting, White Sulphur Springs, WV, May 22, 2005
“Spotlight on Document Retention: Preservation Policies that Enable Effective Investigations,” American Conference Institute’s Program on the Corporate Counsel’s Guide to Conducting and Managing Internal and External Investigations, New York, April 19, 2005
“The Insider: Turnaround Management, Broadcast on American Airlines’ Sky Radio,” available at www.SkyRadioNetwork.com, September 2004
“Proactive Document Retention and Preservation Policies That Will Ensure Effective Investigations While Protecting the Company,” American Conference Institute’s Program on the Corporate Counsel’s Guide to Internal and External Investigations, New York, May 18, 2004

Other Highlighted Lectures

“Commentary on the Use of the Lead Plaintiff in Securities Class-Action Litigation,” 11th Institute for Law and Economic Policy (ILEP) Conference: Mutual Funds, Hedge Funds and Institutional Investors, Lake Las Vegas, NV, April 8, 2005
“Crisis in the Insurance Industry Redux or: How I Learned to Stop Worrying and Love ‘Bid Rigging,’” Life Office Management Association (LOMA)/Life Insurance Management Research Association (LIMRA) Meeting Series: Compliance and Market Conduct Exchange: Working Together in Changing Times, Washington, DC, Nov. 8, 2004
“Select Issues in Corporate Governance and Compliance: Building a Compliance Culture from Implementation to Management Support,” Houston Inside Counsel Roundtable, Houston, Oct. 27, 2004
“Building a Compliance Culture From Implementation to Management Support,” American Council of Life Insurers’ Annual Compliance Conference, Baltimore, July 15, 2004
“Fraud in Mergers and Acquisitions,” Premier Forum on Corporate Fraud, Non-Compliance and the Debt/Equity Markets, Washington, DC, Nov. 18, 2003
“Making Lemons Into Lemonade: Supervising Independent Producers,” Annual Compliance Conference of the Life Office Management Association, October 2001, discussed and quoted from at length in Resource, LOMA’s Magazine For Insurance and Financial Services Management at 6 – 10, February 2002

Court Admissions

United States Court of Appeals for the District of Columbia, Second Circuit, Third Circuit, Fifth Circuit, and Ninth Circuit
United States District Court for the District of Columbia, District of Maryland, Southern District of Texas, and Western District of Texas

Highlighted Matters

Anti-Corruption

Appointed first-ever external anti-corruption compliance monitor jointly appointed by the US Department of Justice (DOJ), the US Securities and Exchange Commission (SEC) and the UK Serious Fraud Office (with advice and approval of the US Office of Foreign Assets Control) for a multinational specialty chemical manufacturer
Appointed independent anti-corruption compliance monitor by the United Nations for a France-based inspection services company following debarment by the United Nations
Current representation of a multinational “supermajor” oil and gas company in connection with a worldwide risk assessment and compliance audit, in coordination with a compliance monitor, and thereafter
Current representation of a CAC 40 French multinational oil field services company in connection with a worldwide review of activities and coordination with their compliance monitor and thereafter
Current representation of world-leading aerospace and defense company in connection with anti-corruption reviews and related investigations
Conducted an anti-corruption internal investigation for an oil field service company with worldwide operations, with investigative focus on Algeria and implementation of an enhanced worldwide compliance program
Day-to-day anti-corruption and investigative counsel with respect to numerous companies, including a world-leading payment processing firm, a Germany-based specialty chemical company, and a Switzerland-based oil field service provider of drilling equipment
Successful representation of a New York Stock Exchange (NYSE)-traded company in connection with an FCPA inquiry related to business in Nigeria and other parts of West Africa, including in connection with an SEC, DOJ and US Senate inquiry
Successful investigation for a venture fund in connection with portfolio holding company activities in Algeria and France
Representation of a US-Europe-based chemical company in designing an anti-corruption compliance program and policies
Representation of a US-Europe-based oil field services company in connection with worldwide activities including related to Nigeria, Ghana, Indonesia and France
Representation of an NYSE-traded company in connection with FCPA advice related to business in Libya, Tunisia and Indonesia
Representation of a US-based, NYSE-traded company in connection with FCPA/Organization for Economic Co-operation and Development (OECD) and related anti-corruption issues related to business or activities in Indonesia, South Korea, South Africa, Nigeria, Burundi, Rwanda, Uganda, Congo, Cameroon, Saudi Arabia, China and Cambodia
Representation of a German multinational company in FCPA/OECD issues related to business in Venezuela
Representation of a Fortune 500 company in connection with FCPA advice regarding business in China
Representation of a Fortune 500 company in connection with FCPA advice related to business in Oman, Egypt and China
Successful representation of a Brazilian company in an FCPA inquiry by the SEC and with respect to internal investigations (no proceedings commenced)
Successful representation of a Fortune 500, NYSE-traded company in connection with FCPA advice relating to business in Nigeria, United Arab Emirates, Kuwait, Qatar, China, Kazakhstan and Azerbaijan

World Bank Group and Other International Financial Institutions

Currently serves as an independent compliance monitor for a Chinese state-owned construction enterprise in connection with a debarment and sanction by the World Bank
Successful and continued representation of French multinational CAC 40 industrial manufacturing company under a negotiated resolution agreement to resolve a World Bank Group investigation and coordination regarding the company’s compliance monitor
Current representation of Spanish construction company in investigations by the African Development Bank
Successful argument before the World Bank Group Sanctions Board as part of the representation of Chinese infrastructure company in contested proceedings; secured immediate termination of suspension and proceedings. Sanctions Board Decision No. 88 (Sanctions Case No. 372) issued on June 29, 2016
Successful argument before the World Bank Group Sanctions Board as part of the representation of French consulting companies and individual in contested proceedings; obtained acquittal on all charges by the Sanctions Board, reversing decision of the Office of Suspension and Debarment, and terminating suspension and proceedings. Decision reported on the World Bank Sanctions Board website: Sanctions Board Decision No. 81 (Sanctions Case No. 215) issued on September 29, 2015
Successful argument before the World Bank Group Sanctions Board as part of the representation of Norwegian consulting engineering company in contested proceeding; secured immediate termination of suspension and proceedings. Decision reported on the World Bank Sanctions Board website: Sanctions Board Decision No. 63 (Sanctions Cases No. 119 and No. 124) issued January 31, 2014
Successful representation of a multinational oil field services company in connection with resolution of an investigation by the African Development Bank

Class/Derivative Actions

Current representation of ProPetro Holding Corp. in federal securities class action and derivative litigations in the Western District of Texas
Successful representation of former Chief Operating Officer of CBS Corporation in high-profile dispute and resulting litigation regarding defensive measures to proposed merger
Successful representation of Alstom SA in a federal securities class action relating to an NYSE-issued American depositary receipt, and ordinary securities stemming from alleged financial misstatements and omissions. Successful motions to dismiss on numerous grounds leading to limitations regarding subject matter jurisdiction and dismissal of numerous claims and parties. Ultimate resolution involved payment of only $6.75 million to class (despite initial potential damages of $4 billion) with no attorneys’ fees paid to plaintiff’s counsel and reimbursement of only one-half of their out-of-pocket costs. See In re Alstom SA Sec. Litig., 406 F. Supp.2d 346 (S.D.N.Y. 2005) (“Alstom I”); In re Alstom SA Sec. Litig., 406 F. Supp. 2d 402 (S.D.N.Y. 2005) (“Alstom II”); In re Alstom SA Sec. Litig., 406 F. Supp. 2d 433 (S.D.N.Y. 2005) (“Alstom III”)
Successful representation of the outside directors of Dynegy Inc. in a consolidated federal securities class action, and state and federal shareholder derivative actions, stemming from the company’s restatements of selected transactions; obtained dismissal with prejudice on behalf of three directors in a federal securities class action. See In re Dynegy Inc. Securities Litigation, 339 F. Supp. 2d 804 (S.D. Tex. 2004)
Successful representation as lead counsel to Hanover Compressor Co. (together with certain committees of the board and select individuals), six shareholder derivative actions, 15 securities class actions (consolidated), and three Employee Retirement Income Security Act class actions (consolidated), stemming from the company’s restatement of earnings. (Handling and settlement of litigation was favorably reviewed in the September 2003 ABA Journal at 1, 38-44)
Representation of the director of El Paso Corp. in securities-related proceedings
Representation of The Wet Seal Inc. in securities-related litigation
Representation of boards of directors (or committees thereof) of Baxter International, US West, Dominion Resources and others, made the subject of shareholder derivative demands, including conducting the requisite internal investigation, producing detailed reports of findings, conducting board presentations and conducting subsequent litigation
Representation of life insurance companies made the subject of class-action litigation relating to insurance sales practices litigation (including claims involving churning/replacement, vanishing premiums and misrepresentation) and class-action litigation relating to limited partnerships, including New York Life, American General and John Hancock

Mergers and Acquisitions (M&A) Litigation

Successful representation of the board committee of Educate Inc. in merger-related litigation
Current representation of Chindex and related directors in merger-related litigation
Successful representation of Pioneer Natural Resources in master limited partnership (MLP) roll-up litigation
Successful representation of Sybron Dental and its board of directors in merger-related class-action litigation
Successful representation of Burlington Coat Factories and its board of directors in connection with merger-related class-action litigation
Successful representation of Nautica Inc. and its board of directors in connection with merger-related class-action litigation

SEC and Broker-Dealer Enforcement

Successful representation of an NYSE-traded company in an SEC insider trading investigation
Successful representation of Hanover Compressor Co. in an SEC investigation stemming from restatement of earnings
Representation of First Allied in the settlement of a market timing investigation by the National Association of Securities Dealers (NASD)
Successful representation of the chief financial officer (CFO) of American General Securities Inc. against NASD prosecution through a Wells submission
Successful representation of the former chief compliance officer of ING broker-dealer in an NASD matter
Successful representation of a senior financial officer in an SEC enforcement action stemming from accounting restatement by Waste Management Inc.
Successful representation of a hedge fund and senior officers in two SEC inquiries related to various aspects of marketing and trading activity
Successful representation of a high-yield-based firm in an SEC investigation

Investigations/Governance

Representation of one of the largest e-sports franchises in the world in an internal investigation, and counselling related matters involving cryptocurrencies
Successful representation of Cenveo Inc. in an internal investigation for an audit committee, related to allegations of financial misconduct
Successful representation of the audit committee of Security Capital Corp. in an internal investigation and related matters
Regularly provided legal advice over a period of years to an audit committee of the board of directors of a $20 billion company in connection with an array of matters, including corporate governance and disclosure issues
Representation of individuals (including political figures) and an organization under investigation by governmental authorities, including the US House of Representatives, the Senate, the Department of Justice and the Office of Independent Counsel for various alleged violations of law and public policy

DOJ Criminal Division Revises Corporate Enforcement Policy to Further Incentivize Voluntary Self-Disclosure and “Extraordinary” Cooperation

Client Advisories

Hughes Hubbard Releases Fall 2022 FCPA Alert

Client Advisories

Recent Recognitions for Hughes Hubbard’s Anti-Corruption and Internal Investigations Group

Client Advisories |

Awards

L’impact de l’arrêt Schrems II sur les programmes de conformité anticorruption

Client Advisories

Impact of Schrems II On Anti-Corruption Compliance Programs

Client Advisories

Virtual Shareholder Meetings: What to Know in the Era of COVID-19