Compliance, Investigations, and Monitorships

• Advising a global, ex U.S.-based medical device company in the design and implementation of its ABAC compliance program and related financial controls and representing the company in its ongoing FCPA investigation by the DOJ
• Advising a leading global media and entertainment company in the enhancement of its compliance program, including the design and execution of its global compliance risk assessment
• Advising a bio-pharmaceutical company on the enhancement of its global ABAC compliance program, including leading a review of the Company’s ABAC-related financial controls and resulting enhancements, conducting proactive reviews in markets across Asia, Europe, and Latin America, and assisting the Company in ongoing resolution negotiations of an FCPA matter before the DOJ and SEC
• Advising a Fortune 100, multi-national pharmaceutical company in the continued enhancement of its global ABAC compliance program, including conducting proactive reviews and advising on government-facing strategy and core program components including monitoring, investigations, and remediation
• Conducted a global assessment of the ABAC compliance program and related financial controls of a Fortune 15 telecommunications, media, and entertainment company and advising the company (including senior management across operating companies and functions) on resulting program and control enhancement
• Representing a multi-national pharmaceutical company in the anti-bribery and anti-corruption due diligence and integration efforts associated with a multi-billion dollar transaction
• Served as company counsel facilitating an independent compliance monitorship arising from a top-10, global FCPA resolution with the Securities and Exchange Commission and Department of Justice (monitorship concluded without extension)
• Designed and implemented an anti-corruption compliance program for a U.S.-based global exploration and development company
• Conducted a global risk assessment and designed the global ABAC compliance program for a medical device company
• Designed and implemented an anti-corruption compliance program for a consortium formed to build and operate a multi-billion-dollar oil and gas pipeline in Latin America
• Participated in the corporate monitorship and successful close out of the deferred prosecution agreement of a Fortune 100, multi-national pharmaceutical company relating to alleged FCPA violations
• Designed a compliance program and related internal controls for an oil and gas drilling and platform construction company
• Conducted a Section 10A investigation on behalf of a multi-national chemical and refining company; resulted in favorable resolution with the auditor
• Represented an up-stream oil and gas company in an FCPA investigation by the DOJ and SEC
• Conducted an internal FCPA investigation on behalf of the special committee of the board of directors of an up-stream oil and gas company
• Conducted an internal investigation on behalf of an up-stream oil and gas company relating to an oilfield death
• Represented the chief financial officer of an office services and equipment company in a stock options backdating investigation by the SEC; resulted in favorable settlement 
• Represented the chief executive officer of a retail company in a Regulation Fair Disclosure investigation by the SEC; resulted in favorable pre-suit settlement
• Represented the general counsel of a broker-dealer in an administrative proceeding by the SEC alleging failure to supervise; resulted in dismissal of all claims by the Commission
• Participated in the corporate monitorship of a Fortune 50, multi-national corporation arising from resolution of FCPA violations

 Civil Litigations

• Represented an international offshore and onshore drilling and oil field services company in state and federal shareholder derivative actions related to DOJ and SEC investigations of alleged FCPA violations; resulted in favorable dismissals affirmed by the Fifth Circuit 
• Represented an international offshore drilling company in consolidated state and federal shareholder derivative actions related to resolution of DOJ and SEC investigations of alleged FCPA violations; resulted in favorable dismissals
• Represented a pharmaceutical company and several of its directors and senior officers in shareholder derivative and class actions arising from DOJ and SEC investigations of alleged Medicaid fraud; resulted in favorable pre-trial settlement
• Represented an internet service corporation in state and federal consumer class actions brought by subscribers; resulted in favorable dismissals
• Represented a mutual fund company in a shareholder class action alleging misrepresentations in fund prospectus; resulted in a favorable dismissal

• Panelist, “Third-Party Relationship Management: Domestic and Global Risks, Due Diligence, Contracting, Monitoring, Auditing, Termination,” Seton Hall Law’s Advanced Healthcare Compliance Certificate Program, May 2023.
• Moderator, “Life Sciences Sector Considerations for Measuring the Effectiveness of Compliance Programs: Real-World Takeaways for Updating Your Program Amid the Latest DOJ Guidance and Enforcement Posture, “18th Annual ACI FCPA & Anti-Corruption for the Life Sciences Industry Conference” – May 2023
• Moderator, “Building a Compliance Program from the Ground Up”, “20th Annual Pharmaceutical Compliance Congress” – April 2023
• Moderator, “Navigating Compliance Risks in Clinical Trials” – September 2022
• Panelist, “Town Hall on Work-Life ‘Integration’ in the Life Sciences Industries: How We Can Strive to Achieve the Best of Both Worlds in a Hybrid Work Environment”, “American Conference Institute’s 9th Annual Summit for Women Leaders in Life Sciences Law” – July 2022
• Panelist, “Clinical Trials – The Latest on Managing Unique, Evolving Bribery Risk Factors”, “American Conference Institute’s 14th Advanced Forum FCPA & Anti-Corruption for the Life Sciences Industry” – July 2022
• Moderator, “Diverse Voices in Life Sciences” – May 2022
• Moderator, “A Look at Commercial and Medical Affairs to Understand Changes to An Organization’s Evolving Compliance Needs”, “Informa Connects Pharmaceutical Compliance Congress” April 2022
• Panelist, “Leading Strategies for Monitoring, Auditing, and Risk Assessments”, “Informa Connects Pharmaceutical Compliance Congress” – September 2021
• Panelist, Virtual First — Trends in Monitoring and Interactions, “Informa Connect’s Compliance Congress for Specialty Products” – June 2021
• Moderator, “The Evolution of Compliance in the Life Sciences Industry – A Discussion with the Chief Compliance Officers of Alexion and Otsuka” – June 2021
• Moderator, “The New Realities of Third-Party Due Diligence with Limited Resources: Five Effective Strategies for Vetting Your Business Partners and Their Partners,” ACI’s 23rd Annual New York Forum on the Foreign Corrupt Practices Act, June 2021.
• Moderator, “An Interview with the Securities & Exchange Commission,” ACI’s 14th Annual Houston Forum on the Foreign Corrupt Practices Act, January 2020
• Moderator, “Interacting with HCPs: Big Picture, Strategic Insights for Ethical Business Conduct, Anti-Corruption and Healthcare Compliance,” ACI’s 13th Advanced Forum on FCPA & Anti-Corruption for the Life Sciences Industry, June 2019
• Author together with Gary F. Giampetruzzi, Jessica R. Montes & Aisling Murray, Not A U.S.-Fits-All-Proposition: Four Key Considerations When Building the Compliance Framework to Go Global with Patient Support (Parts I and II), April 2019
• Panelist, “More Insights into the Monitorship Process Behind the Curtain,” ACI’s 13th Annual Houston Forum on the Foreign Corrupt Practices Act, January 2019
• Panelist, “Assessing the Value of ISO 37001 for Your Business – Whether, When and How to Seek and Maintain Certification,” ACI’s 12th Annual Houston Forum on the Foreign Corrupt Practices Act, January 2018
• Presenter, “A Journey to the Dark Side of International Business – Leveraging Front Line Experience to Protect Your Organization and Embed Compliance and Ethics,” Society of Corporate Compliance and Ethics, Regional Compliance & Ethics Conference, Dallas, Texas, November 2017
• Faculty, “The Foreign Corrupt Practice Act (and World-Wide Anti-Corruption Enforcement),” Seton Hall Law School, U.S. Healthcare Compliance Certification Program, June 2017
• Panelist, “A Practical Debate on the Value of ISO 37001 and Other Compliance Certifications: Weighing the Pros and Cons in the Life Sciences Context,” ACI’s 11th Annual Forum on FCPA & Anti-Corruption for the Life Sciences Industry, June 2017
• Panelist, “Sponsorship and Congresses: 5 Big Mistakes to Avoid,” ACI’s 11th Annual Forum on FCPA & Anti-Corruption for the Life Sciences Industry, June 2017
• Presenter, “DOJ Compliance Program Evaluation Guidance: What is it and What does it mean?,” North Texas Ethics & Compliance Council, May 2017
• Author together with Samuel W. Cooper, Christie A. Mathis & Betsey A. Boutelle, Going, Going, Gone: First Law of the Trump Administration Repeals Regulations Implementing Section 1504 Reporting Requirements for Payments to Governments by Oil, Gas, and Mining Companies, February 2017
• Panelist, “The Transformative Impact of the SEC’s Whistleblower Program: How and Why Companies Need to Brace Themselves for an Increased Number of Reports and Awards to Protect Their Investors,” ACI’s 11th Annual Houston Forum on the Foreign Corrupt Practices Act, January 2017
• Author with Gary F. Giampetruzzi & Katherine K. Solomon, Teva Pharmaceuticals Announces a Reserve of $520M in View of What Stands to Be the Fourth Largest FCPA Resolution to Date, November 2016
• Panelist, “4th Oil and Gas Anti-Corruption Compliance Exchange,” Houston, Texas, October 2016
• Author with Gary F. Giampetruzzi & Katherine K. Solomon, They Keep Coming: The SEC Enters a $5.5M Settlement with AstraZeneca PLC Resolving FCPA Allegations, September 2016
• Author with Samuel W. Cooper & Spencer D. Bruck, Take Two—The SEC Adopts Section 1504 Reporting Requirements for Payments to Governments by Oil, Gas, and Mining Companies, July 2016
• Faculty, “ACI’s Third Party Due Diligence and Monitoring Seminar,” Chicago, IL, June, 2016
• Author with Gary F. Giampetruzzi & Emmanuel Gastard, Seal the Deal: Four Steps to Effective FCPA Acquisition Due Diligence & Integration, May 2016
• Author with Gary F. Giampetruzzi & Jena A. Sold, It’s Back—True to the Promise of Continued Scrutiny of Life Sciences, the SEC Enters a $25M FCPA Resolution with Novartis, April 2016
• Author with Gary F. Giampetruzzi & Christopher F. Allen, Your Joint Venture In Fact Can Be Your Problem: Bristol Meyers Squibb Pays $14M to Resolve FCPA Allegations, October 2015
• Author with Samuel W. Cooper, Proactive Thinking About International White Collar Investigations: How to Mitigate Risks and Manage Key Issues, International White Collar Enforcement, 2015 Edition
• Author with Gary F. Giampetruzzi & Lucy B. Jennings, Inside Out: The SEC Awards $1 Million Plus to Yet Another Compliance Professional Turned Whistleblower, May 2015
• Author with Gary F. Giampetruzzi & Jennifer A. Ebling, Not Finished With You Yet—The U.S. Government Extends its Deferred Prosecution Agreement with Biomet, Inc. Again Underscoring the FCPA Risk in Life Science, March 2015
• Author with Gary F. Giampetruzzi & Lucy B. Jennings, SEC Sends a $30 Million-Plus Warning to Companies: Beware of Foreign Whistleblower, September 2014
• Panelist, “Dodd-Frank sections 1502 (Conflict Minerals) & 1504 (Government Payment Reporting): Where things stand and What oilfield services companies are doing to prepare,” Institute for Energy Law, Oilfield Services Practice Committee Meeting, October 2013
• Author with Samuel W. Cooper & Christie A. Mathis, Preparing for Shareholder Lawsuits When Dealing with Foreign Corrupt Practices Act Investigations, August 2013
• Author with Samuel W. Cooper, Federal Court Vacates the SECs Section 1504 Reporting Requirements for Payments to Government by Oil, Gas, and Mining Companies, July 2013
• Panelist, “Corporate Boards: Perspectives on Risk and Compliance Issues,” Ernst & Young Risk & Compliance Seminar, May 2013
• Author, Long-Anticipated Guidance on the Foreign Corrupt Practices Act Released by the Department of Justice and Securities and Exchange Commission, November 2012
• Panelist, “Managing Risk in A Global Economy,” Women’s Global Leadership Conference in Energy & Technology, October 2012
• Author, Superman and the Selective Waiver Doctrine: The Potential Impact of Waiving Privilege in Government Investigations in Light of Parallel Litigation, July 2012
• Author, SEC Approves Final Dodd-Frank Whistleblower Rules, May 2011