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Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell to Present “Investigations and Enforcement Update” to Aledade

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MoFo partners Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell are pleased to present a CLE entitled “Investigations and Enforcement Update” for Aledade on Monday, May 6, 2024. 

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<p>MoFo partners Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell are pleased to present a CLE entitled “Investigations and Enforcement Update” for Aledade on Monday, May 6, 2024. Utilizing their background as veteran trial attorneys and former prosecutors, they will present on the following topics:</p><ul><li><p>DOJ's recent focus on voluntary self-disclosure, whistleblowing programs, and third-party messaging;</p></li><li><p>False Claims Act and Anti-Kickback Statute updates;</p></li><li><p>Hot topics in SEC enforcement, including the internal controls provisions; and</p></li><li><p>The SEC whistleblowing program.</p></li></ul><hr>

<p>Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell to Present “Investigations and Enforcement Update” to Aledade</p>

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<p>Carrie H. Cohen is global co-chair of the Investigations + White Collar Defense practice group and the firm’s State + Local Government Enforcement team. Prior to joining the firm, Carrie served as an Assistant U.S. Attorney in the Southern District of New York (SDNY) where she prosecuted public corruption and securities matters, including obtaining the first trial conviction of former Speaker of the New York State Assembly Sheldon Silver. Carrie also served in the New York State Attorney General’s Office as Chief of the Public Integrity Bureau and an Assistant Attorney General in the Civil Rights Bureau where she received the Louis J. Lefkowitz Memorial Award for outstanding service. </p><p>As a former federal and state prosecutor, Carrie routinely represents corporations, boards, and c-suite executives in government-facing investigative and regulatory matters with a particular focus on state and local government matters. Carrie’s extensive trial experience and distinguished record of success in high‑stakes, white collar defense matters cement her position as a leading lawyer who often is called upon for particularly sensitive matters. Carrie’s trial and white collar expertise have been recognized by a variety of organizations including <em>Chambers USA</em>, which describes her as “a terrific trial lawyer with great judgment and timing, [who] knows how to present complex cases in a digestible way.” Carrie also routinely prepares clients who are called to testify before Congress and state and city legislatures and works on matters that involve multijurisdictional investigations and significant media attention.</p><p>Carrie is a recognized industry expert in public corruption and state and local government actions. She is frequently selected by government agencies to serve as independent counsel and issue public reports, including her appointment as independent monitor for the Federal Deposit Insurance Corporation, special counsel to the New York City Council, special independent counsel to the City of Rochester, and counsel to the California Attorney General’s Office (CA AG) as well as being part of the Monitorship Team appointed by DOJ for the global Odebrecht corruption matter. She was also appointed by Governor Kathy Hochul to the Metropolitan Transit Authority Inspector General’s Board and serves as its acting chair, and was appointed by the Chief Judge of the U.S. District Court for the Eastern District of New York as counsel to the Court’s Grievance Committee. Carrie is also an adjunct professor at the University of Pennsylvania Law School, where she teaches a seminar on Public Corruption and the Law.</p><p>Carrie serves on multiple bar committees and task forces as part of her efforts to promote the rule of law. She was appointed as chair of the New York State Bar Association (NYSBA) Task Force on Domestic Terrorism and Hate Crimes and served as a member of the NYSBA Task Force on Wrongful Convictions. As a leader of the Bar, Carrie was appointed as co-chair of the Federal-State Judicial Advisory Council and previously served as a vice president and trustee of the Federal Bar Council and president of its Inn of Court as well as prior service as a vice president of the New York City Bar, chair of its Executive Committee, and member of its Nominating Committee. Carrie was also appointed by the SDNY to its Criminal Justice Act Panel to serve as counsel to indigent defendants in federal criminal cases.</p><h4>Representative Experience</h4><p><strong>Government Appointments/Public Corruption Matters</strong>. Independent counsel for federal, state, and local government agencies. Representing elected and appointed public officials, public entities, and individuals doing business with the government in a variety of public corruption-related matters with a focus on public-facing reports, including:</p><ul><li>Independent monitor for the Federal Deposit Insurance Corporation related to workplace issues.</li><li>Special independent counsel to the New York City Council related to investigations of certain council members for misconduct and corruption.</li><li>Special counsel to the MTA related to an examination of time, attendance, and overtime, which included presenting a report to the MTA Board.</li><li>Independent counsel to the CA AG related to conducting a review of its public release of confidential personal information associated with firearms permit holders and applicants, which included the preparation and release of a public report.</li><li>Service on the DOJ-appointed Monitorship Team for the global Odebrecht corruption matter.</li><li>County officials related to allegations of official misconduct and bid rigging.</li></ul><p><strong>Trial Counsel</strong>. Serving as first-chair trial counsel for individuals in federal and state court criminal matters. Representations include Rochester Mayor Lovely Warren for state campaign finance charges; Hon. John A. Michalek for state and federal public corruption offenses; and Hon. Sylvia Ash for federal obstruction of justice charges.</p><p><strong>Financial Institutions/Securities Matters</strong>. Representing banks and other financial institutions in investigations of regulatory and consumer-related matters. Representing corporations and individuals in a variety of criminal investigations and regulatory matters involving federal and state securities laws.</p><p><strong>Foreign Corrupt Practices Act (FCPA)</strong>. Representing corporations in FCPA investigations across industries and in numerous jurisdictions. Serving on the DOJ-appointed Monitorship Team in the criminal prosecution of Odebrecht.</p><p><strong>Workplace Misconduct</strong>. Conducting investigations for corporations and boards related to workplace misconduct and #MeToo issues and providing related advocacy and legal advice.</p><p><strong>Cybersecurity</strong>. Conducting investigations of cybersecurity incidents and representing companies in related government and regulatory matters concerning disclosures of data and privacy issues.</p><p><strong>RICO/Civil Fraud/Commercial Litigation</strong>. Representing a wide variety of public and private corporations in civil fraud, RICO, and commercial litigation including at trial. Represented UPS at trial in SDNY in a case brought by the NYAG and the City of New York alleging illegal transportation of untaxed cigarettes.</p>

Carrie Cohen

Partner

<p>Haima Marlier is a partner in Morrison Foerster’s Investigations + White Collar Defense Group and co-chairs both its Fintech and Securities Enforcement practices. Drawing on her experience as a former Securities and Exchange Commission (SEC) senior trial counsel, Haima represents public and private companies, financial services providers, and executives, directors, and other individuals in SEC, Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), state securities regulator, and internal investigations, as well as in related litigation. She has more than 20 years of experience litigating in federal, state, and administrative courts, leading complex negotiations, and representing her clients in mediation. She also counsels clients regarding securities enforcement developments, trends, and risk mitigation.</p><p>Before joining the firm, Haima spent nearly a decade in the SEC’s Division of Enforcement. While at the SEC, Haima served as lead counsel on a number of prominent enforcement litigations and investigations involving public companies, registered investment advisers, broker-dealers, banks, and individuals in matters arising under the federal securities laws. She has also worked closely with foreign securities regulators, numerous U.S. attorneys’ offices, and FINRA.</p><p>Haima is a member of <em>Law360</em>’s Securities Editorial Board, serves on the advisory board of Securities Docket, and is on the Board of Trustees of the SEC Historical Society. She mentors Penn State students of color who aspire to become lawyers and is a member of the board of directors of, and a volunteer running coach for, Girls on the Run New Jersey, a nonprofit dedicated to inspiring girls to recognize their inner physical and emotional strengths. She maintains an active pro bono practice.</p><p>Haima has been recognized by <em>Chambers USA </em>for Securities Regulation: Enforcement and Crypto-Asset Disputes;<em> Crain’s New York Business</em>’s Notable Women in Law and Notable Diverse Leaders in Law; <em>The Legal 500 US</em> as a recommended lawyer in Securities Litigation: Defense, Investigations and White Collar Criminal Defense, and Fintech; <em>Securities Docket’s </em>Enforcement Elite; and the <em>New York Law Journal</em> for her efforts in the diversity and inclusion space.</p><p>Haima received her J.D. from Boston College Law School and her B.A. from The Pennsylvania State University.</p><h4>Representative Experience</h4><h5>Cybersecurity</h5><ul><li>Successfully resolved an SEC investigation into a global technology solutions company’s cybersecurity risk disclosures and disclosure controls, policies, and procedures, with an acknowledgment by the SEC of the client’s significant remediation and cooperation.</li><li>Representing a global tech service management company in an SEC inquiry into its cybersecurity incidents and disclosures.</li><li>Represented numerous public companies and other clients in the SEC’s SolarWinds cybersecurity enforcement sweep.</li><li>Advising numerous public companies and SEC-registered firms on the efficacy of their cybersecurity disclosure controls and procedures and the materiality of cybersecurity incidents.</li><li>Represented a major technology company in an internal investigation into its cybersecurity statements and controls, policies, and procedures.</li></ul><h5>Fintech & Crypto</h5><ul><li>Represented a nonprofit foundation supporting a major blockchain, as well as two of its senior individuals, in an SEC investigation, with a complete termination letter issued by the SEC.</li><li>Successfully resolved an SEC crypto investigation into anti-money laundering and other compliance and monitoring programs on behalf a former senior bank executive.</li><li>Representing a leading cryptocurrency exchange platform in responding to SEC, CFTC, and state attorney general subpoenas and other requests for information.</li><li>Obtained a successful federal court settlement for a venture capital fund in a securities class action concerning an unregistered digital token offering.</li><li>Advising numerous Fintech companies, from startups to mature organizations, on securities enforcement compliance best practices and enforcement risk mitigation.</li><li>Represented a private investor in an SEC investigation related to a reverse merger involving a cryptocurrency company with no action taken by the SEC.</li></ul><h5>Artificial Intelligence</h5><ul><li>Representing a major tech company in an SEC investigation focused on AI-related disclosures and policies.</li></ul><h5>Accounting & Financial Reporting</h5><ul><li>Represented the former Chief Operations Officer of a major NASDAQ-listed food distributor in SEC and special committee investigations, with a complete termination letter issued by the SEC, as well as in related Delaware Court of Chancery litigation, which was favorably resolved.</li><li>Successfully resolved SEC and special committee investigations into related-party transaction disclosures and accounting issues, as well as related shareholder litigation, on behalf of a former CEO of a NASDAQ-listed company.</li><li>Represented an audit committee of a public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li><li>Represented a leading public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li></ul><h5>Other Securities Enforcement Matters</h5><ul><li>Represented the former CEO of a major company listed on the New York Stock Exchange in an SEC insider trading investigation with no action taken by the SEC.</li><li>Represented an individual in an SEC investigation concerning the “pay-to-play” rule.</li><li>Represented a private investment fund in a COVID-19 related SEC insider trading investigation with no action taken by the SEC.</li><li>Represented a broker-dealer in a for-cause FINRA examination into anti-money laundering and other issues.</li><li>Represented a leading international company in government investigation into pharmaceutical drug pricing.</li><li>Represented a biotech company in a Massachusetts Securities Division investigation concerning securities registration exemptions and representations to investors regarding securities registration with no action taken by the state regulator.</li><li>Obtained a successful resolution for a pre-IPO biotech company in a wrongful termination lawsuit brought by a co-founder and former CEO terminated by the board of directors.</li><li>Represented the SEC in all stages of federal and administrative proceedings, including at trial and on appeal, in matters involving violations of the federal securities laws.</li></ul>

Haimavathi Marlier

<p><span>Nathaniel (Nate) Mendell is a partner in Morrison Foerster’s Investigations + White Collar Defense and </span>Data, Cyber + Privacy<span> practice groups and was the former Acting U.S. Attorney for the United States Attorney’s Office for the District of Massachusetts. He represents companies, financial institutions, boards, and executives through all phases of investigation and litigation involving allegations of corporate healthcare fraud, securities and other financial fraud, public corruption, criminal intellectual property theft, data breach or disclosure, and international money laundering. Nate leverages his two decades of service in the U.S. Department of Justice to offer clients an invaluable insider perspective on white collar defense, internal investigations, cyber breaches, and government enforcement actions.</span></p><p>Prior to joining Morrison Foerster, Nate served as First Assistant U.S. Attorney and Senior Litigation Counsel advising the U.S. Attorney. As Acting U.S. Attorney, Nate led over 135 prosecutors and reported directly to the Attorney General. Before serving as First Assistant, Nate was Chief of the Narcotics and Money Laundering Unit, where he led more than a dozen prosecutors investigating and prosecuting money laundering cases across the United States, Colombia, Europe, and the Middle East. He also contributed to the creation of the District Court’s RISE Program and was an Assistant U.S. Attorney in the Southern District of Florida.</p><p>Nate earned his B.A., cum laude, from Amherst College and earned his J.D. from Harvard Law School where he served as the Editor in Chief of the<span> </span><em>Harvard Latino Law Review</em>.  He has also served on the <em>Law360</em> Massachusetts editorial board since 2024.</p><h4>Representative Experience</h4><h5>Defense Experience</h5><ul><li>Representation of a multinational holding company in a DOJ investigation arising from the client’s investment into a telehealth company under investigation for the unlawful prescription of controlled substances involving potential violations of the Controlled Substances Act (CSA) and the False Claims Act (FCA).</li><li>Advising a pharmaceutical company seeking to mitigate Anti-Kickback Statute (AKS) risk in supporting commercially insured patients in the transition to a new biosimilar therapy. While providing support to commercially insured patients and carving out federally insured patients is not prohibited, such arrangements can draw government scrutiny if they are intended to induce or “pull through” federally insured patients to use medical services or products. We are helping formulate practical parameters for a program that will assist commercially insured patients, meet business goals, and comply with applicable laws and regulations. </li><li>Advising pharmaceutical company whose trade secrets and confidential information were used as the basis for a patent application filed by a competitor and former employees.</li><li>Advising a commercial bank on the acquisition of a medical records company under investigation by DOJ for alleged violations of the FCA.</li><li>Advising an investment management company on the acquisition of a medical device manufacturer under investigation by the DOJ for alleged violations of the FCA.</li><li>Provided training to an online market place regarding the legal framework of the AKS, recent enforcement trends, and compliance best practices.</li></ul><h5>Government Experience</h5><ul><li>Violations of the AKS against a variety of major pharmaceutical companies, which culminated in settlements involving nearly $1,000,000,000 in fines and restitution to resolve the improper use of “patient assistance programs” to subsidize patient co-pays.</li><li>Violations of the CSA against the founder and chief executive officer of a publicly‑traded pharmaceutical company related to the opioids epidemic.</li><li>FCA matters involving improper inducements, insurance pull-through schemes, and improper billing and coding practices.</li><li>Fraud and tax fraud charges against a professor suspected of stealing trade secrets and intellectual property from U.S. interests for a foreign government.</li><li>Conspiracy to obtain unauthorized access to computers and to commit wire fraud and securities fraud charges against a Russian businessman.</li><li>Charges of mail fraud, money laundering, bribery, conspiracy to commit mail and wire fraud, and racketeering conspiracy against coaches, administrators, and parents who fraudulently obtained test scores and college admissions for students related to the Varsity Blues scandal.</li><li>Six-week mail and wire fraud trial against an American businessman involved in a multi-million dollar Ponzi scheme.</li></ul>

Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell to Present “Investigations and Enforcement Update” to Aledade

06 May 2024 3:00 PM - 4:00 PM EDT