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He serves on Boston College Law School\u0026rsquo;s national alumni board and formerly served as a Corp member for Teach For America.\u0026nbsp;\u0026nbsp;\u003c/p\u003e","slug":"adam-baker","email":"abaker@kslaw.com","phone":null,"matters":["\u003cp\u003eConducted an internal investigation on behalf of the Special Committee of an international corporation concerning potential financial improprieties resulting in a restatement and violations of the Foreign Corrupt Practices Act, and represented the Special Committee in resulting parallel investigations by the DOJ and SEC.\u003c/p\u003e","\u003cp\u003eRepresented a multinational financial services institution in investigations by the SEC and FINRA related to potential insider trading by current and former employees involved in a nonpublic M\u0026amp;A deal.\u003c/p\u003e","\u003cp\u003eRepresented a multinational financial services institution in an internal investigation of potential violations of the Foreign Corrupt Practices Act and OFAC regulations by an employee who attempted to broker deals with the Iranian government.\u003c/p\u003e","\u003cp\u003eRepresented the former CEO of a publicly-traded company in insider trading investigations by the DOJ and SEC.\u003c/p\u003e","\u003cp\u003eRepresented a men\u0026rsquo;s college basketball coach in investigations by the DOJ and NCAA Enforcement regarding potential provision of payments and benefits to players.\u003c/p\u003e","\u003cp\u003eRepresented a key figure in the \u0026ldquo;Bridgegate\u0026rdquo; matter in parallel investigations by the New Jersey Legislative Select Committee and U.S. Attorney\u0026rsquo;s Office, District of New Jersey.\u003c/p\u003e","\u003cp\u003eRepresented a former Dewey \u0026amp; Leboeuf employee in the New York County District Attorney\u0026rsquo;s Office\u0026rsquo;s investigation of the downfall of the firm, successfully obtaining immunity for the client.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":11,"guid":"11.capabilities","index":0,"source":"capabilities"},{"id":81,"guid":"81.capabilities","index":1,"source":"capabilities"},{"id":24,"guid":"24.capabilities","index":2,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":3,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":4,"source":"capabilities"},{"id":103,"guid":"103.capabilities","index":5,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":6,"source":"smartTags"},{"id":780,"guid":"780.smart_tags","index":7,"source":"smartTags"},{"id":750,"guid":"750.smart_tags","index":8,"source":"smartTags"},{"id":1248,"guid":"1248.smart_tags","index":9,"source":"smartTags"},{"id":1434,"guid":"1434.smart_tags","index":10,"source":"smartTags"}],"is_active":true,"last_name":"Baker","nick_name":"Adam","clerkships":[],"first_name":"Adam","title_rank":9999,"updated_by":32,"law_schools":[{"id":245,"meta":{"degree":"J.D.","honors":"","is_law_school":"1","graduation_date":"2008-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":null,"linked_in_url":"https://www.linkedin.com/in/adam-baker-4a471038/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eAdam Baker represents global financial institutions, healthcare and life sciences companies, and other public corporations in complex government and internal investigations and regulatory matters. He has extensive experience counseling clients facing investigations by the Department of Justice, Securities and Exchange Commission, State Attorneys General, Financial Industry Regulatory Authority, as well as other criminal and civil authorities. In particular, Adam has defended clients in matters implicating various federal laws and regulations, including insider trading, Foreign Corrupt Practices Act, Anti-Kickback Statute, healthcare fraud, and the Food, Drug \u0026amp; Cosmetic Act. [[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePreviously, Adam served as a criminal Assistant United States Attorney in the Health Care Fraud/Opioid Abuse Prevention and Enforcement Unit in the District of New Jersey. In that role, he led a number of large-scale investigations and prosecutions of major pharmaceutical companies for healthcare fraud, diversion of controlled substances, and violations of the Federal Anti-Kickback Statute.\u0026nbsp; He also partnered with the DOJ\u0026rsquo;s Consumer Protection Branch on a significant investigation into potential violations by an opioid manufacturer and related individuals of the Food, Drug \u0026amp; Cosmetic Act.\u0026nbsp;\u0026nbsp;\u0026nbsp;\u003c/p\u003e\n\u003cp\u003ePrior to his government service, Adam was a Partner at another AmLaw 50 firm where he oversaw complex investigations and regulatory matters for financial institutions and its employees.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eAdam is active within the LGBTQ+ community. He helped found Boston Colleges\u0026rsquo; first gay-straight alliance and served on his prior firm\u0026rsquo;s Diversity \u0026amp; LGBTQ+ committees. He serves on Boston College Law School\u0026rsquo;s national alumni board and formerly served as a Corp member for Teach For America.\u0026nbsp;\u0026nbsp;\u003c/p\u003e","matters":["\u003cp\u003eConducted an internal investigation on behalf of the Special Committee of an international corporation concerning potential financial improprieties resulting in a restatement and violations of the Foreign Corrupt Practices Act, and represented the Special Committee in resulting parallel investigations by the DOJ and SEC.\u003c/p\u003e","\u003cp\u003eRepresented a multinational financial services institution in investigations by the SEC and FINRA related to potential insider trading by current and former employees involved in a nonpublic M\u0026amp;A deal.\u003c/p\u003e","\u003cp\u003eRepresented a multinational financial services institution in an internal investigation of potential violations of the Foreign Corrupt Practices Act and OFAC regulations by an employee who attempted to broker deals with the Iranian government.\u003c/p\u003e","\u003cp\u003eRepresented the former CEO of a publicly-traded company in insider trading investigations by the DOJ and SEC.\u003c/p\u003e","\u003cp\u003eRepresented a men\u0026rsquo;s college basketball coach in investigations by the DOJ and NCAA Enforcement regarding potential provision of payments and benefits to players.\u003c/p\u003e","\u003cp\u003eRepresented a key figure in the \u0026ldquo;Bridgegate\u0026rdquo; matter in parallel investigations by the New Jersey Legislative Select Committee and U.S. Attorney\u0026rsquo;s Office, District of New Jersey.\u003c/p\u003e","\u003cp\u003eRepresented a former Dewey \u0026amp; Leboeuf employee in the New York County District Attorney\u0026rsquo;s Office\u0026rsquo;s investigation of the downfall of the firm, successfully obtaining immunity for the client.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":10412}]},"capability_group_id":2},"created_at":"2025-05-26T04:59:19.000Z","updated_at":"2025-05-26T04:59:19.000Z","searchable_text":"Baker{{ FIELD }}Conducted an internal investigation on behalf of the Special Committee of an international corporation concerning potential financial improprieties resulting in a restatement and violations of the Foreign Corrupt Practices Act, and represented the Special Committee in resulting parallel investigations by the DOJ and SEC.{{ FIELD }}Represented a multinational financial services institution in investigations by the SEC and FINRA related to potential insider trading by current and former employees involved in a nonpublic M\u0026amp;A deal.{{ FIELD }}Represented a multinational financial services institution in an internal investigation of potential violations of the Foreign Corrupt Practices Act and OFAC regulations by an employee who attempted to broker deals with the Iranian government.{{ FIELD }}Represented the former CEO of a publicly-traded company in insider trading investigations by the DOJ and SEC.{{ FIELD }}Represented a men’s college basketball coach in investigations by the DOJ and NCAA Enforcement regarding potential provision of payments and benefits to players.{{ FIELD }}Represented a key figure in the “Bridgegate” matter in parallel investigations by the New Jersey Legislative Select Committee and U.S. Attorney’s Office, District of New Jersey.{{ FIELD }}Represented a former Dewey \u0026amp; Leboeuf employee in the New York County District Attorney’s Office’s investigation of the downfall of the firm, successfully obtaining immunity for the client.{{ FIELD }}Adam Baker represents global financial institutions, healthcare and life sciences companies, and other public corporations in complex government and internal investigations and regulatory matters. He has extensive experience counseling clients facing investigations by the Department of Justice, Securities and Exchange Commission, State Attorneys General, Financial Industry Regulatory Authority, as well as other criminal and civil authorities. In particular, Adam has defended clients in matters implicating various federal laws and regulations, including insider trading, Foreign Corrupt Practices Act, Anti-Kickback Statute, healthcare fraud, and the Food, Drug \u0026amp; Cosmetic Act. \nPreviously, Adam served as a criminal Assistant United States Attorney in the Health Care Fraud/Opioid Abuse Prevention and Enforcement Unit in the District of New Jersey. In that role, he led a number of large-scale investigations and prosecutions of major pharmaceutical companies for healthcare fraud, diversion of controlled substances, and violations of the Federal Anti-Kickback Statute.  He also partnered with the DOJ’s Consumer Protection Branch on a significant investigation into potential violations by an opioid manufacturer and related individuals of the Food, Drug \u0026amp; Cosmetic Act.   \nPrior to his government service, Adam was a Partner at another AmLaw 50 firm where he oversaw complex investigations and regulatory matters for financial institutions and its employees. \nAdam is active within the LGBTQ+ community. He helped found Boston Colleges’ first gay-straight alliance and served on his prior firm’s Diversity \u0026amp; LGBTQ+ committees. He serves on Boston College Law School’s national alumni board and formerly served as a Corp member for Teach For America.   Partner Boston College Boston College Law School Boston College Boston College Law School Fordham University Fordham University School of Law U.S. District Court for the Eastern District of New York U.S. District Court for the Southern District of New York New York Conducted an internal investigation on behalf of the Special Committee of an international corporation concerning potential financial improprieties resulting in a restatement and violations of the Foreign Corrupt Practices Act, and represented the Special Committee in resulting parallel investigations by the DOJ and SEC. Represented a multinational financial services institution in investigations by the SEC and FINRA related to potential insider trading by current and former employees involved in a nonpublic M\u0026amp;A deal. Represented a multinational financial services institution in an internal investigation of potential violations of the Foreign Corrupt Practices Act and OFAC regulations by an employee who attempted to broker deals with the Iranian government. Represented the former CEO of a publicly-traded company in insider trading investigations by the DOJ and SEC. Represented a men’s college basketball coach in investigations by the DOJ and NCAA Enforcement regarding potential provision of payments and benefits to players. Represented a key figure in the “Bridgegate” matter in parallel investigations by the New Jersey Legislative Select Committee and U.S. Attorney’s Office, District of New Jersey. Represented a former Dewey \u0026amp; Leboeuf employee in the New York County District Attorney’s Office’s investigation of the downfall of the firm, successfully obtaining immunity for the client.","searchable_name":"Adam Baker","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":32,"capability_group_featured":null,"home_page_featured":null},{"id":436688,"version":1,"owner_type":"Person","owner_id":3236,"payload":{"bio":"\u003cp\u003ePaul Bessette, who serves as co-chair of the Firm\u0026rsquo;s Corporate \u0026amp; Securities Litigation Practice, defends clients in securities and shareholder litigation, government investigations and enforcement actions, and complex business disputes throughout the United States.\u0026nbsp; For more than 30 years, Paul has represented companies, officers and directors, underwriters and accountants in securities fraud class actions, shareholder derivative litigation, regulatory investigations and bankruptcy D\u0026amp;O litigation. \u0026nbsp;He regularly works with board\u0026nbsp;committees leading internal investigations and advising companies on governance and fiduciary duty issues.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePaul is ranked by\u0026nbsp;\u003cem\u003eChambers,\u003c/em\u003e\u0026nbsp;\u003cem\u003eBest Lawyers in America,\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eLegal 500\u003c/em\u003e, among others, and has been recognized by\u0026nbsp;\u003cem\u003eSuper Lawyers\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eLawdragon.\u0026nbsp;\u003c/em\u003e\u0026nbsp;He is rated AV\u0026reg; Preeminent\u0026trade; by Martindale-Hubbel.\u0026nbsp; Client and peer reviews in\u0026nbsp;\u003cem\u003eChambers\u003c/em\u003e\u0026nbsp;say Paul\u0026nbsp;\u003cem\u003e\u0026ldquo;has a fast growing reputation for the quality of his representation in a wide range of securities matters.\u0026nbsp; Market sources laud his ability to engage with company directors, saying that he \u0026lsquo;is a very strong boardroom guy with a good team around him\u003c/em\u003e.\u0026rdquo;\u0026rsquo; \u0026nbsp;\u003cem\u003e\u0026ldquo;Practicing in this area is an art, and he is very good at it.\u0026rdquo;\u003c/em\u003e\u003c/p\u003e\n\u003cp\u003ePaul frequently speaks and writes on shareholder litigation, corporate disclosure, corporate governance and related topics. He has authored numerous securities-related articles for publications including\u0026nbsp;\u003cem\u003eABA Business Law Today, Insights, Financial Executive, Law360, Financial fraud Law Report, The D\u0026amp;O Diary, Bloomberg Law Reports, National Underwriter\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eThe Securities Reporter.\u003c/em\u003e\u003c/p\u003e","slug":"paul-bessette","email":"pbessette@kslaw.com","phone":"+1-512-940-6250","matters":["\u003cp\u003eSignificant Matters\u003c/p\u003e","\u003cp\u003e\u003cem\u003eDigital Turbine, Inc.:\u0026nbsp;\u003c/em\u003eWe represented the Company and its executives in a securities class action lawsuit arising out of a 2021 restatement of financial results following two acquisitions of companies in the digital advertising space. We secured a motion to dismiss victory in 2023, and then we won dismissal of the case with prejudice in 2024.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eSolarWinds Corp\u003c/em\u003e.: We defended the Company and former executives in a securities class action lawsuit in the Western District of Texas alleging claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934. The lawsuit arose after SolarWinds\u0026rsquo; December 2020 announcement that it had been victimized in a cutting-edge cyberattack seeking to compromise systems of SolarWinds\u0026rsquo;s U.S. Government and Fortune 500 clients that use its Orion software. The novel attack has been described as \u0026ldquo;the largest and most sophisticated\u0026rdquo; cyberoperation ever executed. It is estimated that more than 1,000 highly skilled engineers working on behalf of the Russian Foreign Intelligence Service took part in the attack. On March 30, 2022, the Court entered an order granting dismissal of plaintiff's Section 10(b) claims against SolarWinds\u0026rsquo; former CEO, whom King \u0026amp; Spalding also represented, but allowing plaintiff's remaining claims to proceed to the discovery phase. The parties thereafter mediated the case and reached a settlement.\u003c/p\u003e","\u003cp\u003e\u003cem\u003ePhunware, Inc\u003c/em\u003e.: We represent the Company and its pre- and post-SPAC officer and director defendants in a shareholder suit alleging breaches of fiduciary duty, a Delaware corporate law statutory claim, statutory fraud under Texas law and Texas Securities Act claims. Originally filed in Texas, the suit was transferred to the Delaware Chancery Court after King \u0026amp; Spalding successfully moved to transfer the case. This case is an early example of litigation following the recent SPAC transaction boom. Plaintiffs are investors in the pre-SPAC target company that invested in various early rounds of financing while the Company was privately held. The lawsuit followed the de-SPAC merger; plaintiffs allege that Phunware should not have subjected their shares to a 180-day lock-up following the de-SPAC transaction. During the 180-day period following the de-SPAC transaction, Phunware\u0026rsquo;s stock price rose by hundreds of dollars per share but ultimately dropped significantly before the end of the lock-up period. Plaintiffs, who collectively owned more than 1 million Phunware shares, seek damages, including the lost value of their shares during the lock-up period, as well as costs and professional fees. Vice Chancellor Cook granted Phunware\u0026rsquo;s motion to dismiss on the Texas Securities Act and statutory fraud claims and denied plaintiffs\u0026rsquo; partial motion for summary judgment on the Delaware statutory claim.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eShattuck Labs\u003c/em\u003e: We represented the Company, its CEO and founder, CFO, Executive Chairman of the Board and founder, and members of the Board in a securities class action in the Eastern District of New York. The Company is a clinical-stage biotechnology company developing a new class of biologic medicine. The initial drug product candidates are in immuno-oncology. Shattuck was conducting a Phase I dose escalation clinical trial to determine the safety of its drug in late-stage cancer patients. Based on a misreading of scientific results, Plaintiffs argued that Shattuck misled investors about the efficacy of the drug in that trial. After we filed a compelling motion to dismiss, Plaintiffs chose to settle the matter cheaply\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re PolatityTE:\u003c/em\u003e\u0026nbsp;We represented the Company and its executives in a securities class action in the District of Utah. The lawsuit alleged that PolarityTE made false and misleading statements regarding the registration of its SkinTE product with the FDA, the Company's manufacturing facilities, and its new drug application for SkinTE. We won two motions to dismiss\u0026mdash;the second with prejudice. We worked with the client to understand PolarityTE\u0026rsquo;s business and the applicable FDA regulations to be able to draft compelling motions to dismiss.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eEvolent Health, Inc\u003c/em\u003e.: We represented the Company and several of its current and former executives in a securities class action lawsuit filed in the Eastern District of Virginia that asserted securities fraud claims arising from the Company's acquisition of its largest customer, a Kentucky Medicaid organization called Passport Health Plan. The operative complaint alleged that more than 20 statements were false or misleading, but after our compelling motion to dismiss, the court dismissed more than three quarters of the plaintiffs' allegations. This shortened the Class Period and significantly reduced the Company's exposure. Plaintiffs then filed a third amended complaint, and the third motion to dismiss was granted in part. Discovery into the remaining claims moved forward on a compressed \u0026ldquo;rocket docket\u0026rdquo; timeline, along with the class certification portion of the case. The parties reached a favorable settlement after a second mediation session.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eAdeptus Health, Inc.:\u0026nbsp;\u003c/em\u003eWe defended the former CEO in breach of fiduciary duty actions in the Eastern District of Texas and in Delaware Chancery Court, brought by the Litigation Trustee appointed during Adeptus\u0026rsquo;s bankruptcy. The Trustee alleges that the CEO and various directors benefited from synthetic offerings at the expense of the Company, and also that the CEO pursued a reckless growth strategy that harmed the long-term prospects of the Company. We aggressively litigated and settled the Trustee action. We also defended the CEO in a related federal securities class action and a Texas State Court opt-out case, both brought by shareholders of Adeptus alleging that former officers knowingly or recklessly made misleading and untrue statements to investors in Adeptus\u0026rsquo;s registration statement for its IPO and in several secondary public offerings, and in subsequent press releases and SEC filings regarding its free-standing emergency room operations, and failed to disclose material weaknesses in its internal accounting practices. We reached favorable settlements in both shareholder actions as well.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eFXCM, Inc.\u003c/em\u003e: Obtained a hard-won dismissal for FXCM, Inc., its CEO, and its CFO in a securities class action following the Swiss National Bank\u0026rsquo;s unprecedented decision to allow the Swiss franc to trade freely against the euro. The Southern District of New York dismissed the case holding that FXCM\u0026rsquo;s losses were attributable to an unforeseeable market event, not to any fraud or recklessness by FXCM and its management. The Second Circuit remanded to allow the District Court to consider evidence from a regulatory investigation that concluded after the case was dismissed. The District Court once again dismissed the case and the Second Circuit affirmed the judgment. 767 Fed. App\u0026rsquo;x 139 (2nd Cir. 2019).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re Hanger, Inc.\u003c/em\u003e: Obtained dismissal of a case against Hanger and its CEO that involved a large, four-year restatement and an audit committee investigation that concluded that some members of management created \u0026ldquo;cookie jar\u0026rdquo; reserves to smooth earnings and set an inappropriate \u0026ldquo;tone at the top.\u0026rdquo; In a panel opinion in August 2018, the Fifth Circuit reversed and remanded for further proceedings. After filing for panel rehearing and rehearing\u0026nbsp;\u003cem\u003een banc,\u003c/em\u003e\u0026nbsp;the panel vacated its August 2018 opinion and replaced it with a decision that fully affirmed the district court\u0026rsquo;s dismissal with prejudice. The panel held that the plaintiffs\u0026rsquo; allegations constituted the impermissible group pleading of scienter and did not adequately address the individual defendants\u0026rsquo; state of mind. 768 Fed. App\u0026rsquo;x 175 (5th Cir. 2019).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eNeiman v. Bulmahn, et al\u003c/em\u003e.: The Fifth Circuit affirmed an August 2015 district court dismissal of a putative class action filed by ATP shareholders under the Securities Exchange Act of 1934. The shareholders accused ATP\u0026rsquo;s former officers of committing securities fraud by misrepresenting various aspects of the company\u0026rsquo;s business prior to bankruptcy, including its production from a particular oil-and-gas well, its liquidity, and the resignation of its CEO. The Fifth Circuit held that the shareholders failed to satisfy the heightened standard for pleading scienter. 854 F.3d 741 (5th Cir. 2017).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re SemCrude L.P.:\u003c/em\u003e\u0026nbsp;Obtained a permanent injunction preventing investors in bankrupt oil-and-gas company from bringing derivative claims against former CEO in Oklahoma state court. A successful Third Circuit appeal won reversal of orders that had denied injunctive relief, with the court quoting the former CEO's brief in a published opinion on the distinction between derivative and direct claims. 796 F.3d 310 (3rd Cir. 2015).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eMiyahira v. Vitacost.com, Inc.:\u003c/em\u003e\u0026nbsp;Obtained a full dismissal of plaintiff\u0026rsquo;s claims under the Securities Act of 1933 for misleading statements in Vitacost\u0026rsquo;s IPO prospectus. The Eleventh Circuit affirmed the dismissal, holding that the complaint did not state a claim for relief despite reliance on ten confidential witnesses and over 100 pages of allegations. This decision is significant given the nearly strict-liability nature of plaintiff\u0026rsquo;s Securities Act claims. 715 F.3d 1257 (11th Cir. 2013).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eBell v. Ascendant Solutions, Inc.:\u003c/em\u003e\u0026nbsp;Defeated class certification in a securities fraud class action involving alleged fraud in connection with an IPO. In a widely followed opinion, the Fifth Circuit upheld the denial of class certification based on argument that the company\u0026rsquo;s stock did not trade in an efficient market during the class period. 422 F.3d 307 (5th Cir. 2005).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re Crossroads Systems, Inc. Securities Litigation:\u003c/em\u003e\u0026nbsp;Obtained summary judgment in a securities fraud class action where the plaintiffs alleged that the company improperly accounted for inventory reserves and sought more than $800 million in damages. The Fifth Circuit affirmed in\u0026nbsp;\u003cem\u003eGreenberg v. Crossroads Sys., Inc.\u003c/em\u003e, 364 F.3d 657 (5th Cir. 2004). This opinion is one of the key Fifth Circuit cases on what plaintiffs must show to demonstrate entitlement to the fraud-on-the-market presumption of reliance, a key element of a \u0026sect;10(b) securities-fraud claim.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[{"id":132}]},"expertise":[{"id":19,"guid":"19.capabilities","index":0,"source":"capabilities"},{"id":3,"guid":"3.capabilities","index":1,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":2,"source":"capabilities"},{"id":102,"guid":"102.capabilities","index":3,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":4,"source":"capabilities"},{"id":104,"guid":"104.capabilities","index":5,"source":"capabilities"},{"id":766,"guid":"766.smart_tags","index":6,"source":"smartTags"},{"id":74,"guid":"74.capabilities","index":7,"source":"capabilities"},{"id":126,"guid":"126.capabilities","index":8,"source":"capabilities"},{"id":1248,"guid":"1248.smart_tags","index":9,"source":"smartTags"}],"is_active":true,"last_name":"Bessette","nick_name":"Paul","clerkships":[],"first_name":"Paul","title_rank":9999,"updated_by":35,"law_schools":[],"middle_name":"R.","name_suffix":"","recognitions":[{"title":"Fellow, Litigation Counsel of America","detail":"Litigation Counsel of America, 2024"},{"title":"Recognized by Leading Lawyers of America","detail":"Leading Lawyers of America, 2024"},{"title":"\"Paul is great at handling complexity.\" \"Paul is really well-spoken advocate. He is very succinct.\"","detail":"Bank 1: Litigation: Securities, Chambers 2024"},{"title":"Recommended for Securities Litigation Defense","detail":"Legal 500 United States 2024 Guide"},{"title":"\"Knowledgeable and experienced in dealing with securities litigation; very practical and efficient.\"","detail":"Chambers USA 2023, Band 1"},{"title":"Recognized by Best Lawyer","detail":"The Best Lawyers in America - 2023"},{"title":"\"One of the best defense counsel in the industry–combines legal acumen, bus. awareness, communication \u0026 responsiveness.\"","detail":"Chambers USA, Litigation, 2022, Business Today 2023"},{"title":"\"He's very substantive and analytical as well as timely in providing information to clients. A strong securities player.\"","detail":"Chambers, 2021"},{"title":"Acts on behalf of corporations and their Ds\u0026Os in high-stakes securities litigation, including enforcement actions.","detail":"Chambers USA, 2020, Band 2"},{"title":"Paul Bessette maintains a specialty in securities litigation, which includes SEC enforcement actions and class actions.","detail":"Chambers, Litigation: Securities-Texas 2019, Band 2"},{"title":"\"An expert in the area and knows it extraordinarily well\" “Practicing in this area is an art, and he is very good at it\"","detail":"Chambers USA 2018, Band 2"},{"title":"Paul “has a fast growing reputation for the quality of his representation in a wide range of securities matters.”","detail":"Chambers USA, 2016"},{"title":"“Market sources laud his ability to engage with company directors”","detail":"Chambers USA, 2016"},{"title":"Paul “is a very strong boardroom guy with a good team around him.”","detail":"Chambers USA, 2016"},{"title":"“Strength in a full range of securities litigation matters.”","detail":"U.S. News \u0026 World Report, 2015"},{"title":"Recognized for Securities Litigation ","detail":"The Best Lawyers in America, 2011–2025"},{"title":"One of \"100 Lawyers You Need to Know in Securities Litigation\"","detail":"Lawdragon, 2008"},{"title":"One of \"3000 Leading Lawyers in America\"","detail":"Lawdragon.com, 2006, 2010–2011"},{"title":"Recognized by Texas Super Lawyers ","detail":"Super Lawyers magazine, 2007–2019"},{"title":"Recognized for Securities Litigation","detail":"Super Lawyers, Corporate Counsel Edition, 2009–2010"}],"linked_in_url":null,"seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003ePaul Bessette, who serves as co-chair of the Firm\u0026rsquo;s Corporate \u0026amp; Securities Litigation Practice, defends clients in securities and shareholder litigation, government investigations and enforcement actions, and complex business disputes throughout the United States.\u0026nbsp; For more than 30 years, Paul has represented companies, officers and directors, underwriters and accountants in securities fraud class actions, shareholder derivative litigation, regulatory investigations and bankruptcy D\u0026amp;O litigation. \u0026nbsp;He regularly works with board\u0026nbsp;committees leading internal investigations and advising companies on governance and fiduciary duty issues.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePaul is ranked by\u0026nbsp;\u003cem\u003eChambers,\u003c/em\u003e\u0026nbsp;\u003cem\u003eBest Lawyers in America,\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eLegal 500\u003c/em\u003e, among others, and has been recognized by\u0026nbsp;\u003cem\u003eSuper Lawyers\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eLawdragon.\u0026nbsp;\u003c/em\u003e\u0026nbsp;He is rated AV\u0026reg; Preeminent\u0026trade; by Martindale-Hubbel.\u0026nbsp; Client and peer reviews in\u0026nbsp;\u003cem\u003eChambers\u003c/em\u003e\u0026nbsp;say Paul\u0026nbsp;\u003cem\u003e\u0026ldquo;has a fast growing reputation for the quality of his representation in a wide range of securities matters.\u0026nbsp; Market sources laud his ability to engage with company directors, saying that he \u0026lsquo;is a very strong boardroom guy with a good team around him\u003c/em\u003e.\u0026rdquo;\u0026rsquo; \u0026nbsp;\u003cem\u003e\u0026ldquo;Practicing in this area is an art, and he is very good at it.\u0026rdquo;\u003c/em\u003e\u003c/p\u003e\n\u003cp\u003ePaul frequently speaks and writes on shareholder litigation, corporate disclosure, corporate governance and related topics. He has authored numerous securities-related articles for publications including\u0026nbsp;\u003cem\u003eABA Business Law Today, Insights, Financial Executive, Law360, Financial fraud Law Report, The D\u0026amp;O Diary, Bloomberg Law Reports, National Underwriter\u003c/em\u003e\u0026nbsp;and\u0026nbsp;\u003cem\u003eThe Securities Reporter.\u003c/em\u003e\u003c/p\u003e","matters":["\u003cp\u003eSignificant Matters\u003c/p\u003e","\u003cp\u003e\u003cem\u003eDigital Turbine, Inc.:\u0026nbsp;\u003c/em\u003eWe represented the Company and its executives in a securities class action lawsuit arising out of a 2021 restatement of financial results following two acquisitions of companies in the digital advertising space. We secured a motion to dismiss victory in 2023, and then we won dismissal of the case with prejudice in 2024.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eSolarWinds Corp\u003c/em\u003e.: We defended the Company and former executives in a securities class action lawsuit in the Western District of Texas alleging claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934. The lawsuit arose after SolarWinds\u0026rsquo; December 2020 announcement that it had been victimized in a cutting-edge cyberattack seeking to compromise systems of SolarWinds\u0026rsquo;s U.S. Government and Fortune 500 clients that use its Orion software. The novel attack has been described as \u0026ldquo;the largest and most sophisticated\u0026rdquo; cyberoperation ever executed. It is estimated that more than 1,000 highly skilled engineers working on behalf of the Russian Foreign Intelligence Service took part in the attack. On March 30, 2022, the Court entered an order granting dismissal of plaintiff's Section 10(b) claims against SolarWinds\u0026rsquo; former CEO, whom King \u0026amp; Spalding also represented, but allowing plaintiff's remaining claims to proceed to the discovery phase. The parties thereafter mediated the case and reached a settlement.\u003c/p\u003e","\u003cp\u003e\u003cem\u003ePhunware, Inc\u003c/em\u003e.: We represent the Company and its pre- and post-SPAC officer and director defendants in a shareholder suit alleging breaches of fiduciary duty, a Delaware corporate law statutory claim, statutory fraud under Texas law and Texas Securities Act claims. Originally filed in Texas, the suit was transferred to the Delaware Chancery Court after King \u0026amp; Spalding successfully moved to transfer the case. This case is an early example of litigation following the recent SPAC transaction boom. Plaintiffs are investors in the pre-SPAC target company that invested in various early rounds of financing while the Company was privately held. The lawsuit followed the de-SPAC merger; plaintiffs allege that Phunware should not have subjected their shares to a 180-day lock-up following the de-SPAC transaction. During the 180-day period following the de-SPAC transaction, Phunware\u0026rsquo;s stock price rose by hundreds of dollars per share but ultimately dropped significantly before the end of the lock-up period. Plaintiffs, who collectively owned more than 1 million Phunware shares, seek damages, including the lost value of their shares during the lock-up period, as well as costs and professional fees. Vice Chancellor Cook granted Phunware\u0026rsquo;s motion to dismiss on the Texas Securities Act and statutory fraud claims and denied plaintiffs\u0026rsquo; partial motion for summary judgment on the Delaware statutory claim.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eShattuck Labs\u003c/em\u003e: We represented the Company, its CEO and founder, CFO, Executive Chairman of the Board and founder, and members of the Board in a securities class action in the Eastern District of New York. The Company is a clinical-stage biotechnology company developing a new class of biologic medicine. The initial drug product candidates are in immuno-oncology. Shattuck was conducting a Phase I dose escalation clinical trial to determine the safety of its drug in late-stage cancer patients. Based on a misreading of scientific results, Plaintiffs argued that Shattuck misled investors about the efficacy of the drug in that trial. After we filed a compelling motion to dismiss, Plaintiffs chose to settle the matter cheaply\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re PolatityTE:\u003c/em\u003e\u0026nbsp;We represented the Company and its executives in a securities class action in the District of Utah. The lawsuit alleged that PolarityTE made false and misleading statements regarding the registration of its SkinTE product with the FDA, the Company's manufacturing facilities, and its new drug application for SkinTE. We won two motions to dismiss\u0026mdash;the second with prejudice. We worked with the client to understand PolarityTE\u0026rsquo;s business and the applicable FDA regulations to be able to draft compelling motions to dismiss.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eEvolent Health, Inc\u003c/em\u003e.: We represented the Company and several of its current and former executives in a securities class action lawsuit filed in the Eastern District of Virginia that asserted securities fraud claims arising from the Company's acquisition of its largest customer, a Kentucky Medicaid organization called Passport Health Plan. The operative complaint alleged that more than 20 statements were false or misleading, but after our compelling motion to dismiss, the court dismissed more than three quarters of the plaintiffs' allegations. This shortened the Class Period and significantly reduced the Company's exposure. Plaintiffs then filed a third amended complaint, and the third motion to dismiss was granted in part. Discovery into the remaining claims moved forward on a compressed \u0026ldquo;rocket docket\u0026rdquo; timeline, along with the class certification portion of the case. The parties reached a favorable settlement after a second mediation session.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eAdeptus Health, Inc.:\u0026nbsp;\u003c/em\u003eWe defended the former CEO in breach of fiduciary duty actions in the Eastern District of Texas and in Delaware Chancery Court, brought by the Litigation Trustee appointed during Adeptus\u0026rsquo;s bankruptcy. The Trustee alleges that the CEO and various directors benefited from synthetic offerings at the expense of the Company, and also that the CEO pursued a reckless growth strategy that harmed the long-term prospects of the Company. We aggressively litigated and settled the Trustee action. We also defended the CEO in a related federal securities class action and a Texas State Court opt-out case, both brought by shareholders of Adeptus alleging that former officers knowingly or recklessly made misleading and untrue statements to investors in Adeptus\u0026rsquo;s registration statement for its IPO and in several secondary public offerings, and in subsequent press releases and SEC filings regarding its free-standing emergency room operations, and failed to disclose material weaknesses in its internal accounting practices. We reached favorable settlements in both shareholder actions as well.\u003c/p\u003e","\u003cp\u003e\u003cem\u003eFXCM, Inc.\u003c/em\u003e: Obtained a hard-won dismissal for FXCM, Inc., its CEO, and its CFO in a securities class action following the Swiss National Bank\u0026rsquo;s unprecedented decision to allow the Swiss franc to trade freely against the euro. The Southern District of New York dismissed the case holding that FXCM\u0026rsquo;s losses were attributable to an unforeseeable market event, not to any fraud or recklessness by FXCM and its management. The Second Circuit remanded to allow the District Court to consider evidence from a regulatory investigation that concluded after the case was dismissed. The District Court once again dismissed the case and the Second Circuit affirmed the judgment. 767 Fed. App\u0026rsquo;x 139 (2nd Cir. 2019).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re Hanger, Inc.\u003c/em\u003e: Obtained dismissal of a case against Hanger and its CEO that involved a large, four-year restatement and an audit committee investigation that concluded that some members of management created \u0026ldquo;cookie jar\u0026rdquo; reserves to smooth earnings and set an inappropriate \u0026ldquo;tone at the top.\u0026rdquo; In a panel opinion in August 2018, the Fifth Circuit reversed and remanded for further proceedings. After filing for panel rehearing and rehearing\u0026nbsp;\u003cem\u003een banc,\u003c/em\u003e\u0026nbsp;the panel vacated its August 2018 opinion and replaced it with a decision that fully affirmed the district court\u0026rsquo;s dismissal with prejudice. The panel held that the plaintiffs\u0026rsquo; allegations constituted the impermissible group pleading of scienter and did not adequately address the individual defendants\u0026rsquo; state of mind. 768 Fed. App\u0026rsquo;x 175 (5th Cir. 2019).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eNeiman v. Bulmahn, et al\u003c/em\u003e.: The Fifth Circuit affirmed an August 2015 district court dismissal of a putative class action filed by ATP shareholders under the Securities Exchange Act of 1934. The shareholders accused ATP\u0026rsquo;s former officers of committing securities fraud by misrepresenting various aspects of the company\u0026rsquo;s business prior to bankruptcy, including its production from a particular oil-and-gas well, its liquidity, and the resignation of its CEO. The Fifth Circuit held that the shareholders failed to satisfy the heightened standard for pleading scienter. 854 F.3d 741 (5th Cir. 2017).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re SemCrude L.P.:\u003c/em\u003e\u0026nbsp;Obtained a permanent injunction preventing investors in bankrupt oil-and-gas company from bringing derivative claims against former CEO in Oklahoma state court. A successful Third Circuit appeal won reversal of orders that had denied injunctive relief, with the court quoting the former CEO's brief in a published opinion on the distinction between derivative and direct claims. 796 F.3d 310 (3rd Cir. 2015).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eMiyahira v. Vitacost.com, Inc.:\u003c/em\u003e\u0026nbsp;Obtained a full dismissal of plaintiff\u0026rsquo;s claims under the Securities Act of 1933 for misleading statements in Vitacost\u0026rsquo;s IPO prospectus. The Eleventh Circuit affirmed the dismissal, holding that the complaint did not state a claim for relief despite reliance on ten confidential witnesses and over 100 pages of allegations. This decision is significant given the nearly strict-liability nature of plaintiff\u0026rsquo;s Securities Act claims. 715 F.3d 1257 (11th Cir. 2013).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eBell v. Ascendant Solutions, Inc.:\u003c/em\u003e\u0026nbsp;Defeated class certification in a securities fraud class action involving alleged fraud in connection with an IPO. In a widely followed opinion, the Fifth Circuit upheld the denial of class certification based on argument that the company\u0026rsquo;s stock did not trade in an efficient market during the class period. 422 F.3d 307 (5th Cir. 2005).\u003c/p\u003e","\u003cp\u003e\u003cem\u003eIn re Crossroads Systems, Inc. Securities Litigation:\u003c/em\u003e\u0026nbsp;Obtained summary judgment in a securities fraud class action where the plaintiffs alleged that the company improperly accounted for inventory reserves and sought more than $800 million in damages. The Fifth Circuit affirmed in\u0026nbsp;\u003cem\u003eGreenberg v. Crossroads Sys., Inc.\u003c/em\u003e, 364 F.3d 657 (5th Cir. 2004). This opinion is one of the key Fifth Circuit cases on what plaintiffs must show to demonstrate entitlement to the fraud-on-the-market presumption of reliance, a key element of a \u0026sect;10(b) securities-fraud claim.\u003c/p\u003e"],"recognitions":[{"title":"Fellow, Litigation Counsel of America","detail":"Litigation Counsel of America, 2024"},{"title":"Recognized by Leading Lawyers of America","detail":"Leading Lawyers of America, 2024"},{"title":"\"Paul is great at handling complexity.\" \"Paul is really well-spoken advocate. He is very succinct.\"","detail":"Bank 1: Litigation: Securities, Chambers 2024"},{"title":"Recommended for Securities Litigation Defense","detail":"Legal 500 United States 2024 Guide"},{"title":"\"Knowledgeable and experienced in dealing with securities litigation; very practical and efficient.\"","detail":"Chambers USA 2023, Band 1"},{"title":"Recognized by Best Lawyer","detail":"The Best Lawyers in America - 2023"},{"title":"\"One of the best defense counsel in the industry–combines legal acumen, bus. awareness, communication \u0026 responsiveness.\"","detail":"Chambers USA, Litigation, 2022, Business Today 2023"},{"title":"\"He's very substantive and analytical as well as timely in providing information to clients. A strong securities player.\"","detail":"Chambers, 2021"},{"title":"Acts on behalf of corporations and their Ds\u0026Os in high-stakes securities litigation, including enforcement actions.","detail":"Chambers USA, 2020, Band 2"},{"title":"Paul Bessette maintains a specialty in securities litigation, which includes SEC enforcement actions and class actions.","detail":"Chambers, Litigation: Securities-Texas 2019, Band 2"},{"title":"\"An expert in the area and knows it extraordinarily well\" “Practicing in this area is an art, and he is very good at it\"","detail":"Chambers USA 2018, Band 2"},{"title":"Paul “has a fast growing reputation for the quality of his representation in a wide range of securities matters.”","detail":"Chambers USA, 2016"},{"title":"“Market sources laud his ability to engage with company directors”","detail":"Chambers USA, 2016"},{"title":"Paul “is a very strong boardroom guy with a good team around him.”","detail":"Chambers USA, 2016"},{"title":"“Strength in a full range of securities litigation matters.”","detail":"U.S. News \u0026 World Report, 2015"},{"title":"Recognized for Securities Litigation ","detail":"The Best Lawyers in America, 2011–2025"},{"title":"One of \"100 Lawyers You Need to Know in Securities Litigation\"","detail":"Lawdragon, 2008"},{"title":"One of \"3000 Leading Lawyers in America\"","detail":"Lawdragon.com, 2006, 2010–2011"},{"title":"Recognized by Texas Super Lawyers ","detail":"Super Lawyers magazine, 2007–2019"},{"title":"Recognized for Securities Litigation","detail":"Super Lawyers, Corporate Counsel Edition, 2009–2010"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":4186}]},"capability_group_id":3},"created_at":"2025-09-04T21:52:53.000Z","updated_at":"2025-09-04T21:52:53.000Z","searchable_text":"Bessette{{ FIELD }}{:title=\u0026gt;\"Fellow, Litigation Counsel of America\", :detail=\u0026gt;\"Litigation Counsel of America, 2024\"}{{ FIELD }}{:title=\u0026gt;\"Recognized by Leading Lawyers of America\", :detail=\u0026gt;\"Leading Lawyers of America, 2024\"}{{ FIELD }}{:title=\u0026gt;\"\\\"Paul is great at handling complexity.\\\" \\\"Paul is really well-spoken advocate. He is very succinct.\\\"\", :detail=\u0026gt;\"Bank 1: Litigation: Securities, Chambers 2024\"}{{ FIELD }}{:title=\u0026gt;\"Recommended for Securities Litigation Defense\", :detail=\u0026gt;\"Legal 500 United States 2024 Guide\"}{{ FIELD }}{:title=\u0026gt;\"\\\"Knowledgeable and experienced in dealing with securities litigation; very practical and efficient.\\\"\", :detail=\u0026gt;\"Chambers USA 2023, Band 1\"}{{ FIELD }}{:title=\u0026gt;\"Recognized by Best Lawyer\", :detail=\u0026gt;\"The Best Lawyers in America - 2023\"}{{ FIELD }}{:title=\u0026gt;\"\\\"One of the best defense counsel in the industry–combines legal acumen, bus. awareness, communication \u0026amp; responsiveness.\\\"\", :detail=\u0026gt;\"Chambers USA, Litigation, 2022, Business Today 2023\"}{{ FIELD }}{:title=\u0026gt;\"\\\"He's very substantive and analytical as well as timely in providing information to clients. A strong securities player.\\\"\", :detail=\u0026gt;\"Chambers, 2021\"}{{ FIELD }}{:title=\u0026gt;\"Acts on behalf of corporations and their Ds\u0026amp;Os in high-stakes securities litigation, including enforcement actions.\", :detail=\u0026gt;\"Chambers USA, 2020, Band 2\"}{{ FIELD }}{:title=\u0026gt;\"Paul Bessette maintains a specialty in securities litigation, which includes SEC enforcement actions and class actions.\", :detail=\u0026gt;\"Chambers, Litigation: Securities-Texas 2019, Band 2\"}{{ FIELD }}{:title=\u0026gt;\"\\\"An expert in the area and knows it extraordinarily well\\\" “Practicing in this area is an art, and he is very good at it\\\"\", :detail=\u0026gt;\"Chambers USA 2018, Band 2\"}{{ FIELD }}{:title=\u0026gt;\"Paul “has a fast growing reputation for the quality of his representation in a wide range of securities matters.”\", :detail=\u0026gt;\"Chambers USA, 2016\"}{{ FIELD }}{:title=\u0026gt;\"“Market sources laud his ability to engage with company directors”\", :detail=\u0026gt;\"Chambers USA, 2016\"}{{ FIELD }}{:title=\u0026gt;\"Paul “is a very strong boardroom guy with a good team around him.”\", :detail=\u0026gt;\"Chambers USA, 2016\"}{{ FIELD }}{:title=\u0026gt;\"“Strength in a full range of securities litigation matters.”\", :detail=\u0026gt;\"U.S. News \u0026amp; World Report, 2015\"}{{ FIELD }}{:title=\u0026gt;\"Recognized for Securities Litigation \", :detail=\u0026gt;\"The Best Lawyers in America, 2011–2025\"}{{ FIELD }}{:title=\u0026gt;\"One of \\\"100 Lawyers You Need to Know in Securities Litigation\\\"\", :detail=\u0026gt;\"Lawdragon, 2008\"}{{ FIELD }}{:title=\u0026gt;\"One of \\\"3000 Leading Lawyers in America\\\"\", :detail=\u0026gt;\"Lawdragon.com, 2006, 2010–2011\"}{{ FIELD }}{:title=\u0026gt;\"Recognized by Texas Super Lawyers \", :detail=\u0026gt;\"Super Lawyers magazine, 2007–2019\"}{{ FIELD }}{:title=\u0026gt;\"Recognized for Securities Litigation\", :detail=\u0026gt;\"Super Lawyers, Corporate Counsel Edition, 2009–2010\"}{{ FIELD }}Significant Matters{{ FIELD }}Digital Turbine, Inc.: We represented the Company and its executives in a securities class action lawsuit arising out of a 2021 restatement of financial results following two acquisitions of companies in the digital advertising space. We secured a motion to dismiss victory in 2023, and then we won dismissal of the case with prejudice in 2024.{{ FIELD }}SolarWinds Corp.: We defended the Company and former executives in a securities class action lawsuit in the Western District of Texas alleging claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934. The lawsuit arose after SolarWinds’ December 2020 announcement that it had been victimized in a cutting-edge cyberattack seeking to compromise systems of SolarWinds’s U.S. Government and Fortune 500 clients that use its Orion software. The novel attack has been described as “the largest and most sophisticated” cyberoperation ever executed. It is estimated that more than 1,000 highly skilled engineers working on behalf of the Russian Foreign Intelligence Service took part in the attack. On March 30, 2022, the Court entered an order granting dismissal of plaintiff's Section 10(b) claims against SolarWinds’ former CEO, whom King \u0026amp; Spalding also represented, but allowing plaintiff's remaining claims to proceed to the discovery phase. The parties thereafter mediated the case and reached a settlement.{{ FIELD }}Phunware, Inc.: We represent the Company and its pre- and post-SPAC officer and director defendants in a shareholder suit alleging breaches of fiduciary duty, a Delaware corporate law statutory claim, statutory fraud under Texas law and Texas Securities Act claims. Originally filed in Texas, the suit was transferred to the Delaware Chancery Court after King \u0026amp; Spalding successfully moved to transfer the case. This case is an early example of litigation following the recent SPAC transaction boom. Plaintiffs are investors in the pre-SPAC target company that invested in various early rounds of financing while the Company was privately held. The lawsuit followed the de-SPAC merger; plaintiffs allege that Phunware should not have subjected their shares to a 180-day lock-up following the de-SPAC transaction. During the 180-day period following the de-SPAC transaction, Phunware’s stock price rose by hundreds of dollars per share but ultimately dropped significantly before the end of the lock-up period. Plaintiffs, who collectively owned more than 1 million Phunware shares, seek damages, including the lost value of their shares during the lock-up period, as well as costs and professional fees. Vice Chancellor Cook granted Phunware’s motion to dismiss on the Texas Securities Act and statutory fraud claims and denied plaintiffs’ partial motion for summary judgment on the Delaware statutory claim.{{ FIELD }}Shattuck Labs: We represented the Company, its CEO and founder, CFO, Executive Chairman of the Board and founder, and members of the Board in a securities class action in the Eastern District of New York. The Company is a clinical-stage biotechnology company developing a new class of biologic medicine. The initial drug product candidates are in immuno-oncology. Shattuck was conducting a Phase I dose escalation clinical trial to determine the safety of its drug in late-stage cancer patients. Based on a misreading of scientific results, Plaintiffs argued that Shattuck misled investors about the efficacy of the drug in that trial. After we filed a compelling motion to dismiss, Plaintiffs chose to settle the matter cheaply{{ FIELD }}In re PolatityTE: We represented the Company and its executives in a securities class action in the District of Utah. The lawsuit alleged that PolarityTE made false and misleading statements regarding the registration of its SkinTE product with the FDA, the Company's manufacturing facilities, and its new drug application for SkinTE. We won two motions to dismiss—the second with prejudice. We worked with the client to understand PolarityTE’s business and the applicable FDA regulations to be able to draft compelling motions to dismiss.{{ FIELD }}Evolent Health, Inc.: We represented the Company and several of its current and former executives in a securities class action lawsuit filed in the Eastern District of Virginia that asserted securities fraud claims arising from the Company's acquisition of its largest customer, a Kentucky Medicaid organization called Passport Health Plan. The operative complaint alleged that more than 20 statements were false or misleading, but after our compelling motion to dismiss, the court dismissed more than three quarters of the plaintiffs' allegations. This shortened the Class Period and significantly reduced the Company's exposure. Plaintiffs then filed a third amended complaint, and the third motion to dismiss was granted in part. Discovery into the remaining claims moved forward on a compressed “rocket docket” timeline, along with the class certification portion of the case. The parties reached a favorable settlement after a second mediation session.{{ FIELD }}Adeptus Health, Inc.: We defended the former CEO in breach of fiduciary duty actions in the Eastern District of Texas and in Delaware Chancery Court, brought by the Litigation Trustee appointed during Adeptus’s bankruptcy. The Trustee alleges that the CEO and various directors benefited from synthetic offerings at the expense of the Company, and also that the CEO pursued a reckless growth strategy that harmed the long-term prospects of the Company. We aggressively litigated and settled the Trustee action. We also defended the CEO in a related federal securities class action and a Texas State Court opt-out case, both brought by shareholders of Adeptus alleging that former officers knowingly or recklessly made misleading and untrue statements to investors in Adeptus’s registration statement for its IPO and in several secondary public offerings, and in subsequent press releases and SEC filings regarding its free-standing emergency room operations, and failed to disclose material weaknesses in its internal accounting practices. We reached favorable settlements in both shareholder actions as well.{{ FIELD }}FXCM, Inc.: Obtained a hard-won dismissal for FXCM, Inc., its CEO, and its CFO in a securities class action following the Swiss National Bank’s unprecedented decision to allow the Swiss franc to trade freely against the euro. The Southern District of New York dismissed the case holding that FXCM’s losses were attributable to an unforeseeable market event, not to any fraud or recklessness by FXCM and its management. The Second Circuit remanded to allow the District Court to consider evidence from a regulatory investigation that concluded after the case was dismissed. The District Court once again dismissed the case and the Second Circuit affirmed the judgment. 767 Fed. App’x 139 (2nd Cir. 2019).{{ FIELD }}In re Hanger, Inc.: Obtained dismissal of a case against Hanger and its CEO that involved a large, four-year restatement and an audit committee investigation that concluded that some members of management created “cookie jar” reserves to smooth earnings and set an inappropriate “tone at the top.” In a panel opinion in August 2018, the Fifth Circuit reversed and remanded for further proceedings. After filing for panel rehearing and rehearing en banc, the panel vacated its August 2018 opinion and replaced it with a decision that fully affirmed the district court’s dismissal with prejudice. The panel held that the plaintiffs’ allegations constituted the impermissible group pleading of scienter and did not adequately address the individual defendants’ state of mind. 768 Fed. App’x 175 (5th Cir. 2019).{{ FIELD }}Neiman v. Bulmahn, et al.: The Fifth Circuit affirmed an August 2015 district court dismissal of a putative class action filed by ATP shareholders under the Securities Exchange Act of 1934. The shareholders accused ATP’s former officers of committing securities fraud by misrepresenting various aspects of the company’s business prior to bankruptcy, including its production from a particular oil-and-gas well, its liquidity, and the resignation of its CEO. The Fifth Circuit held that the shareholders failed to satisfy the heightened standard for pleading scienter. 854 F.3d 741 (5th Cir. 2017).{{ FIELD }}In re SemCrude L.P.: Obtained a permanent injunction preventing investors in bankrupt oil-and-gas company from bringing derivative claims against former CEO in Oklahoma state court. A successful Third Circuit appeal won reversal of orders that had denied injunctive relief, with the court quoting the former CEO's brief in a published opinion on the distinction between derivative and direct claims. 796 F.3d 310 (3rd Cir. 2015).{{ FIELD }}Miyahira v. Vitacost.com, Inc.: Obtained a full dismissal of plaintiff’s claims under the Securities Act of 1933 for misleading statements in Vitacost’s IPO prospectus. The Eleventh Circuit affirmed the dismissal, holding that the complaint did not state a claim for relief despite reliance on ten confidential witnesses and over 100 pages of allegations. This decision is significant given the nearly strict-liability nature of plaintiff’s Securities Act claims. 715 F.3d 1257 (11th Cir. 2013).{{ FIELD }}Bell v. Ascendant Solutions, Inc.: Defeated class certification in a securities fraud class action involving alleged fraud in connection with an IPO. In a widely followed opinion, the Fifth Circuit upheld the denial of class certification based on argument that the company’s stock did not trade in an efficient market during the class period. 422 F.3d 307 (5th Cir. 2005).{{ FIELD }}In re Crossroads Systems, Inc. Securities Litigation: Obtained summary judgment in a securities fraud class action where the plaintiffs alleged that the company improperly accounted for inventory reserves and sought more than $800 million in damages. The Fifth Circuit affirmed in Greenberg v. Crossroads Sys., Inc., 364 F.3d 657 (5th Cir. 2004). This opinion is one of the key Fifth Circuit cases on what plaintiffs must show to demonstrate entitlement to the fraud-on-the-market presumption of reliance, a key element of a §10(b) securities-fraud claim.{{ FIELD }}Paul Bessette, who serves as co-chair of the Firm’s Corporate \u0026amp; Securities Litigation Practice, defends clients in securities and shareholder litigation, government investigations and enforcement actions, and complex business disputes throughout the United States.  For more than 30 years, Paul has represented companies, officers and directors, underwriters and accountants in securities fraud class actions, shareholder derivative litigation, regulatory investigations and bankruptcy D\u0026amp;O litigation.  He regularly works with board committees leading internal investigations and advising companies on governance and fiduciary duty issues. \nPaul is ranked by Chambers, Best Lawyers in America, and Legal 500, among others, and has been recognized by Super Lawyers and Lawdragon.  He is rated AV® Preeminent™ by Martindale-Hubbel.  Client and peer reviews in Chambers say Paul “has a fast growing reputation for the quality of his representation in a wide range of securities matters.  Market sources laud his ability to engage with company directors, saying that he ‘is a very strong boardroom guy with a good team around him.”’  “Practicing in this area is an art, and he is very good at it.”\nPaul frequently speaks and writes on shareholder litigation, corporate disclosure, corporate governance and related topics. He has authored numerous securities-related articles for publications including ABA Business Law Today, Insights, Financial Executive, Law360, Financial fraud Law Report, The D\u0026amp;O Diary, Bloomberg Law Reports, National Underwriter and The Securities Reporter. Paul R. Bessette Partner Fellow, Litigation Counsel of America Litigation Counsel of America, 2024 Recognized by Leading Lawyers of America Leading Lawyers of America, 2024 \"Paul is great at handling complexity.\" \"Paul is really well-spoken advocate. He is very succinct.\" Bank 1: Litigation: Securities, Chambers 2024 Recommended for Securities Litigation Defense Legal 500 United States 2024 Guide \"Knowledgeable and experienced in dealing with securities litigation; very practical and efficient.\" Chambers USA 2023, Band 1 Recognized by Best Lawyer The Best Lawyers in America - 2023 \"One of the best defense counsel in the industry–combines legal acumen, bus. awareness, communication \u0026amp; responsiveness.\" Chambers USA, Litigation, 2022, Business Today 2023 \"He's very substantive and analytical as well as timely in providing information to clients. A strong securities player.\" Chambers, 2021 Acts on behalf of corporations and their Ds\u0026amp;Os in high-stakes securities litigation, including enforcement actions. Chambers USA, 2020, Band 2 Paul Bessette maintains a specialty in securities litigation, which includes SEC enforcement actions and class actions. Chambers, Litigation: Securities-Texas 2019, Band 2 \"An expert in the area and knows it extraordinarily well\" “Practicing in this area is an art, and he is very good at it\" Chambers USA 2018, Band 2 Paul “has a fast growing reputation for the quality of his representation in a wide range of securities matters.” Chambers USA, 2016 “Market sources laud his ability to engage with company directors” Chambers USA, 2016 Paul “is a very strong boardroom guy with a good team around him.” Chambers USA, 2016 “Strength in a full range of securities litigation matters.” U.S. News \u0026amp; World Report, 2015 Recognized for Securities Litigation  The Best Lawyers in America, 2011–2025 One of \"100 Lawyers You Need to Know in Securities Litigation\" Lawdragon, 2008 One of \"3000 Leading Lawyers in America\" Lawdragon.com, 2006, 2010–2011 Recognized by Texas Super Lawyers  Super Lawyers magazine, 2007–2019 Recognized for Securities Litigation Super Lawyers, Corporate Counsel Edition, 2009–2010 The University of Texas at Austin The University of Texas School of Law Baylor University Baylor University School of Law Supreme Court of the United States U.S. Court of Appeals for the Second Circuit U.S. Court of Appeals for the Third Circuit U.S. Court of Appeals for the Fifth Circuit U.S. Court of Appeals for the Ninth Circuit U.S. Court of Appeals for the Eleventh Circuit U.S. District Court for the Eastern District of New York U.S. District Court for the Southern District of New York U.S. District Court for the Eastern District of Texas U.S. District Court for the Northern District of Texas U.S. District Court for the Southern District of Texas U.S. District Court for the Western District of Texas U.S. District Court for the Central District of California U.S. District Court for the Eastern District of California U.S. District Court for the Northern District of California U.S. District Court for the Southern District of California California New York Texas Significant Matters Digital Turbine, Inc.: We represented the Company and its executives in a securities class action lawsuit arising out of a 2021 restatement of financial results following two acquisitions of companies in the digital advertising space. We secured a motion to dismiss victory in 2023, and then we won dismissal of the case with prejudice in 2024. SolarWinds Corp.: We defended the Company and former executives in a securities class action lawsuit in the Western District of Texas alleging claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934. The lawsuit arose after SolarWinds’ December 2020 announcement that it had been victimized in a cutting-edge cyberattack seeking to compromise systems of SolarWinds’s U.S. Government and Fortune 500 clients that use its Orion software. The novel attack has been described as “the largest and most sophisticated” cyberoperation ever executed. It is estimated that more than 1,000 highly skilled engineers working on behalf of the Russian Foreign Intelligence Service took part in the attack. On March 30, 2022, the Court entered an order granting dismissal of plaintiff's Section 10(b) claims against SolarWinds’ former CEO, whom King \u0026amp; Spalding also represented, but allowing plaintiff's remaining claims to proceed to the discovery phase. The parties thereafter mediated the case and reached a settlement. Phunware, Inc.: We represent the Company and its pre- and post-SPAC officer and director defendants in a shareholder suit alleging breaches of fiduciary duty, a Delaware corporate law statutory claim, statutory fraud under Texas law and Texas Securities Act claims. Originally filed in Texas, the suit was transferred to the Delaware Chancery Court after King \u0026amp; Spalding successfully moved to transfer the case. This case is an early example of litigation following the recent SPAC transaction boom. Plaintiffs are investors in the pre-SPAC target company that invested in various early rounds of financing while the Company was privately held. The lawsuit followed the de-SPAC merger; plaintiffs allege that Phunware should not have subjected their shares to a 180-day lock-up following the de-SPAC transaction. During the 180-day period following the de-SPAC transaction, Phunware’s stock price rose by hundreds of dollars per share but ultimately dropped significantly before the end of the lock-up period. Plaintiffs, who collectively owned more than 1 million Phunware shares, seek damages, including the lost value of their shares during the lock-up period, as well as costs and professional fees. Vice Chancellor Cook granted Phunware’s motion to dismiss on the Texas Securities Act and statutory fraud claims and denied plaintiffs’ partial motion for summary judgment on the Delaware statutory claim. Shattuck Labs: We represented the Company, its CEO and founder, CFO, Executive Chairman of the Board and founder, and members of the Board in a securities class action in the Eastern District of New York. The Company is a clinical-stage biotechnology company developing a new class of biologic medicine. The initial drug product candidates are in immuno-oncology. Shattuck was conducting a Phase I dose escalation clinical trial to determine the safety of its drug in late-stage cancer patients. Based on a misreading of scientific results, Plaintiffs argued that Shattuck misled investors about the efficacy of the drug in that trial. After we filed a compelling motion to dismiss, Plaintiffs chose to settle the matter cheaply In re PolatityTE: We represented the Company and its executives in a securities class action in the District of Utah. The lawsuit alleged that PolarityTE made false and misleading statements regarding the registration of its SkinTE product with the FDA, the Company's manufacturing facilities, and its new drug application for SkinTE. We won two motions to dismiss—the second with prejudice. We worked with the client to understand PolarityTE’s business and the applicable FDA regulations to be able to draft compelling motions to dismiss. Evolent Health, Inc.: We represented the Company and several of its current and former executives in a securities class action lawsuit filed in the Eastern District of Virginia that asserted securities fraud claims arising from the Company's acquisition of its largest customer, a Kentucky Medicaid organization called Passport Health Plan. The operative complaint alleged that more than 20 statements were false or misleading, but after our compelling motion to dismiss, the court dismissed more than three quarters of the plaintiffs' allegations. This shortened the Class Period and significantly reduced the Company's exposure. Plaintiffs then filed a third amended complaint, and the third motion to dismiss was granted in part. Discovery into the remaining claims moved forward on a compressed “rocket docket” timeline, along with the class certification portion of the case. The parties reached a favorable settlement after a second mediation session. Adeptus Health, Inc.: We defended the former CEO in breach of fiduciary duty actions in the Eastern District of Texas and in Delaware Chancery Court, brought by the Litigation Trustee appointed during Adeptus’s bankruptcy. The Trustee alleges that the CEO and various directors benefited from synthetic offerings at the expense of the Company, and also that the CEO pursued a reckless growth strategy that harmed the long-term prospects of the Company. We aggressively litigated and settled the Trustee action. We also defended the CEO in a related federal securities class action and a Texas State Court opt-out case, both brought by shareholders of Adeptus alleging that former officers knowingly or recklessly made misleading and untrue statements to investors in Adeptus’s registration statement for its IPO and in several secondary public offerings, and in subsequent press releases and SEC filings regarding its free-standing emergency room operations, and failed to disclose material weaknesses in its internal accounting practices. We reached favorable settlements in both shareholder actions as well. FXCM, Inc.: Obtained a hard-won dismissal for FXCM, Inc., its CEO, and its CFO in a securities class action following the Swiss National Bank’s unprecedented decision to allow the Swiss franc to trade freely against the euro. The Southern District of New York dismissed the case holding that FXCM’s losses were attributable to an unforeseeable market event, not to any fraud or recklessness by FXCM and its management. The Second Circuit remanded to allow the District Court to consider evidence from a regulatory investigation that concluded after the case was dismissed. The District Court once again dismissed the case and the Second Circuit affirmed the judgment. 767 Fed. App’x 139 (2nd Cir. 2019). In re Hanger, Inc.: Obtained dismissal of a case against Hanger and its CEO that involved a large, four-year restatement and an audit committee investigation that concluded that some members of management created “cookie jar” reserves to smooth earnings and set an inappropriate “tone at the top.” In a panel opinion in August 2018, the Fifth Circuit reversed and remanded for further proceedings. After filing for panel rehearing and rehearing en banc, the panel vacated its August 2018 opinion and replaced it with a decision that fully affirmed the district court’s dismissal with prejudice. The panel held that the plaintiffs’ allegations constituted the impermissible group pleading of scienter and did not adequately address the individual defendants’ state of mind. 768 Fed. App’x 175 (5th Cir. 2019). Neiman v. Bulmahn, et al.: The Fifth Circuit affirmed an August 2015 district court dismissal of a putative class action filed by ATP shareholders under the Securities Exchange Act of 1934. The shareholders accused ATP’s former officers of committing securities fraud by misrepresenting various aspects of the company’s business prior to bankruptcy, including its production from a particular oil-and-gas well, its liquidity, and the resignation of its CEO. The Fifth Circuit held that the shareholders failed to satisfy the heightened standard for pleading scienter. 854 F.3d 741 (5th Cir. 2017). In re SemCrude L.P.: Obtained a permanent injunction preventing investors in bankrupt oil-and-gas company from bringing derivative claims against former CEO in Oklahoma state court. A successful Third Circuit appeal won reversal of orders that had denied injunctive relief, with the court quoting the former CEO's brief in a published opinion on the distinction between derivative and direct claims. 796 F.3d 310 (3rd Cir. 2015). Miyahira v. Vitacost.com, Inc.: Obtained a full dismissal of plaintiff’s claims under the Securities Act of 1933 for misleading statements in Vitacost’s IPO prospectus. The Eleventh Circuit affirmed the dismissal, holding that the complaint did not state a claim for relief despite reliance on ten confidential witnesses and over 100 pages of allegations. This decision is significant given the nearly strict-liability nature of plaintiff’s Securities Act claims. 715 F.3d 1257 (11th Cir. 2013). Bell v. Ascendant Solutions, Inc.: Defeated class certification in a securities fraud class action involving alleged fraud in connection with an IPO. In a widely followed opinion, the Fifth Circuit upheld the denial of class certification based on argument that the company’s stock did not trade in an efficient market during the class period. 422 F.3d 307 (5th Cir. 2005). In re Crossroads Systems, Inc. Securities Litigation: Obtained summary judgment in a securities fraud class action where the plaintiffs alleged that the company improperly accounted for inventory reserves and sought more than $800 million in damages. The Fifth Circuit affirmed in Greenberg v. Crossroads Sys., Inc., 364 F.3d 657 (5th Cir. 2004). This opinion is one of the key Fifth Circuit cases on what plaintiffs must show to demonstrate entitlement to the fraud-on-the-market presumption of reliance, a key element of a §10(b) securities-fraud claim.","searchable_name":"Paul R. Bessette","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":35,"capability_group_featured":null,"home_page_featured":null},{"id":446151,"version":1,"owner_type":"Person","owner_id":6369,"payload":{"bio":"\u003cp\u003eMatthew Biben focuses his practice on complex negotiation and litigation of disputes, including regulatory and enforcement matters on behalf of both individuals and organizations. His diverse litigation practice includes representing financial institutions and FinTech companies in civil disputes, securities and bankruptcy litigation, and complex matters involving the government.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAs a former general counsel of a large bank and federal prosecutor, Matthew routinely acts as counsel in litigated disputes and internal investigations of both domestic and international matters involving, among others, the Department of Justice (DOJ), Securities Exchange Commission (SEC), Federal Reserve Board (FRB), Office of Comptroller of the Currency (OCC), Consumer Financial Protection Bureau (CFPB), New York Department of Financial Services (NYDFS), state attorneys general and foreign regulators.\u003c/p\u003e\n\u003cp\u003ePrior to joining private practice, Matthew served for three-and-a-half years at JPMorgan Chase, where he was Executive Vice President and General Counsel for Chase Consumer \u0026amp; Community Banking, which included JPMorgan Chase\u0026rsquo;s Private Wealth Management, Card and Merchant Services, Auto Finance, Student Loan, Consumer Banking, Business Banking and Mortgage Banking businesses.\u003c/p\u003e\n\u003cp\u003eMatthew also served as Executive Vice President and Deputy General Counsel of The Bank of New York Mellon Corporation for almost seven years, becoming the second youngest person in BNY\u0026rsquo;s history to be promoted to Executive Vice President. He also served as BNY Mellon\u0026rsquo;s Global Head of Litigation and supervised various corporate functions that included the Office of the Corporate Secretary.\u003c/p\u003e\n\u003cp\u003eMatthew spent the first 12 years of his career in government, serving in the U.S. Attorney\u0026rsquo;s Office for the Southern District of New York, where he was an Assistant U.S. Attorney in the Criminal Division and received the Attorney General\u0026rsquo;s Director Award for superior performance. Previously, he was an Assistant District Attorney in the New York County District Attorney\u0026rsquo;s Office. He argued numerous appeals in the Second Circuit Court of Appeals and was lead counsel in more than 25 federal and state trials.\u003c/p\u003e","slug":"matthew-biben","email":"mbiben@kslaw.com","phone":null,"matters":["\u003cp\u003e\u003cstrong\u003e\u003cem\u003eAnti-Money Laundering\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eRoutinely advise banks and non-banks on BSA/AML compliance and enforcement issues including:\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eSociete Generale\u003c/strong\u003e\u0026nbsp;before the FRB and the Federal Reserve Bank of New York and separately before the NYDFS in negotiating a successful settlement regarding the bank\u0026rsquo;s BSA/AML compliance and risk management programs\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eMashreq Bank\u003c/strong\u003e\u0026nbsp;in negotiating a favorable settlement with the NYDFS, NYFed, FRB, and OFAC resolving wide ranging BSA/AML and Sanctions issues\u003c/p\u003e","\u003cp\u003eSuccessfully defended\u0026nbsp;\u003cstrong\u003eHabib Bank\u003c/strong\u003e\u0026nbsp;against a $630 million lawsuit by the NYDFS and negotiating a $225 million settlement relating to long-running AML/BSA compliance issues and assisting Habib in winding down the business of their NY branch\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eCoinbase\u003c/strong\u003e\u0026nbsp;in sweeping NYDFS investigation relating to BSA/AML and other compliance issues\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;in responding to the DOJ investigation of Mossack Fonseca \u0026amp; and the \u0026ldquo;Panama Papers\u0026rdquo;\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eComplex Civil Litigation\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;and\u0026nbsp;\u003cstrong\u003eDraftKings\u003c/strong\u003e\u0026nbsp;in a landmark victory in the NY Court of Appeals legalizing interactive fantasy sports in New York State (garnering American Lawyer Litigator of the Week runner-up honors)\u003c/p\u003e","\u003cp\u003eRepresent\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;in a New York State Court litigation brought on by the former founders of FanDuel relating to merger acquisition violation\u003c/p\u003e","\u003cp\u003eRepresent\u0026nbsp;\u003cstrong\u003eBlackRock\u003c/strong\u003e\u0026nbsp;in litigation relating to mortgage-era fraud allegations\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eMacquarie Asset Management\u003c/strong\u003e\u0026nbsp;in a joint venture dispute relating to drag-along rights\u003c/p\u003e","\u003cp\u003eRepresent leading\u0026nbsp;\u003cstrong\u003eglobal investment bank\u003c/strong\u003e\u0026nbsp;in arbitration relating to a joint venture dispute\u003c/p\u003e","\u003cp\u003eRepresented ad hoc\u0026nbsp;\u003cstrong\u003e1st lien term lenders\u003c/strong\u003e\u0026nbsp;in the Mallinckrodt bankruptcy\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;in a lawsuit and settlement with the New York Attorney General (NYAG) over the legality of daily fantasy sports and later resolving allegations of false advertising whereby the NYAG dropped its claims challenging the legality of FanDuel\u0026rsquo;s contests after a change in the New York State law permitting daily fantasy sports\u003c/p\u003e","\u003cp\u003eSuccessfully represented the Chairman of the board of\u003cstrong\u003e\u0026nbsp;Rio Tinto\u003c/strong\u003e\u0026nbsp;in a broad ranging SEC investigation into accounting fraud\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eBanks and Financial Institutions\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eIn addition to BSA/AML advice, I have extensively advised on bank regulatory compliance and enforcement issues, including the CFPB, the FRB, NYDFS, FDIC, OCC and others, including:\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eTruist\u003c/strong\u003e\u0026nbsp;in a long-running DOJ FIRREA investigation of their trust businesses in a cost-of-litigation settlement where all allegations were denied\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea global bank\u003c/strong\u003e\u0026nbsp;on fair lender compliance issue in relation to DFS investigation\u003c/p\u003e","\u003cp\u003eSuccessfully represented a\u0026nbsp;\u003cstrong\u003esuperregional bank\u003c/strong\u003e\u0026nbsp;in a CFPB into investigation into TISA compliance avoiding an enforcement action\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003efinancial institutions and individuals\u003c/strong\u003e\u0026nbsp;in SEC investigations, including the Chairman of the Board of a Fortune 100 company\u003c/p\u003e","\u003cp\u003eRepresented a leading\u0026nbsp;\u003cstrong\u003eFintech company\u003c/strong\u003e\u0026nbsp;in a CFPB investigation relating to FCRA and UDAAP allegations\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eToyota Financial Services\u003c/strong\u003e\u0026nbsp;in a DOJ and CFPB investigation and negotiating a favorable settlement relating to the indirect auto lender\u0026rsquo;s fair lending practices\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003ea senior executive of one of the largest global banks\u003c/strong\u003e\u0026nbsp;in a DOJ investigation of RMBS and a separate OCC investigation persuading both agencies after years of investigation to close their investigations without action\u003c/p\u003e","\u003cp\u003eLead an extensive internal investigation and representing\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;before the FRB and NYDFS concerning Regulation W compliance issues\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;in responding to a multi-state attorneys general investigation of its auto lending and securitization practices\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003esenior finance and actuarial employees\u003c/strong\u003e\u0026nbsp;of\u0026nbsp;\u003cstrong\u003eAMBAC\u003c/strong\u003e\u0026nbsp;in SEC investigation of accounting fraud\u003c/p\u003e","\u003cp\u003eRepresented the\u0026nbsp;\u003cstrong\u003eCFO of an insurance company\u003c/strong\u003e\u0026nbsp;in an investigation before the NYDFS which resulted in the matter being closed without action\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eAdmirals Bank\u003c/strong\u003e, as it restructured operations in the face of significant regulatory scrutiny and complex bank regulatory and enforcement issues\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eRoot Insurance\u003c/strong\u003e\u0026nbsp;in a New York Attorney General investigation relating to data breach allegations\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eGovernance\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eServed as a Director and Chair of the\u0026nbsp;\u003cstrong\u003eGovernance Committee\u003c/strong\u003e\u0026nbsp;of the largest privately held bank. BNY Melon Corporate Secretary was a direct report. Extensive pro bono governance work. Write and lecture on the topic. A sample of representations include:\u003c/p\u003e","\u003cp\u003eProvided\u0026nbsp;\u003cstrong\u003ethe Board of Directors of multiple financial institutions\u003c/strong\u003e\u0026nbsp;with advice on their annual self-evaluation as well as broader governance issues including expectations and guidance as applied to bank boards\u003c/p\u003e","\u003cp\u003eRepresented the\u0026nbsp;\u003cstrong\u003eBoard of Directors of Bed Bath \u0026amp; Beyond\u003c/strong\u003e\u0026nbsp;in an internal investigation concerning compensation and disclosure issues\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[{"id":3543}]},"expertise":[{"id":74,"guid":"74.capabilities","index":0,"source":"capabilities"},{"id":19,"guid":"19.capabilities","index":1,"source":"capabilities"},{"id":38,"guid":"38.capabilities","index":2,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":3,"source":"capabilities"},{"id":11,"guid":"11.capabilities","index":4,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":5,"source":"capabilities"},{"id":118,"guid":"118.capabilities","index":6,"source":"capabilities"},{"id":111,"guid":"111.capabilities","index":7,"source":"capabilities"},{"id":923,"guid":"923.smart_tags","index":8,"source":"smartTags"},{"id":699,"guid":"699.smart_tags","index":9,"source":"smartTags"},{"id":765,"guid":"765.smart_tags","index":10,"source":"smartTags"},{"id":1243,"guid":"1243.smart_tags","index":11,"source":"smartTags"},{"id":1248,"guid":"1248.smart_tags","index":12,"source":"smartTags"},{"id":1261,"guid":"1261.smart_tags","index":13,"source":"smartTags"},{"id":803,"guid":"803.smart_tags","index":14,"source":"smartTags"},{"id":1327,"guid":"1327.smart_tags","index":15,"source":"smartTags"}],"is_active":true,"last_name":"Biben","nick_name":"Matt","clerkships":[],"first_name":"Matthew","title_rank":9999,"updated_by":202,"law_schools":[],"middle_name":"L.","name_suffix":"","recognitions":[{"title":"Ranked for his “standout expertise” in the category of “Banking (Enforcement \u0026 Investigations)”","detail":"Chamber USA – Nationwide (Band 3) 2020-2026"},{"title":"Nationally recommended in the category of Financial Services Litigation, “tenacious but balanced litigator” ","detail":"The Legal 500 US 2016-2026"},{"title":"Recognized as Benchmark Litigation “Litigation Star”","detail":"Benchmark Litigation"},{"title":"Recognized as Lawdragon 500 Leading Global Entertainment, Sports \u0026 Media Lawyer","detail":"Lawdragon, 2024-2026"}],"linked_in_url":"https://www.linkedin.com/in/matthew-biben-480bb2a/","seodescription":"Matthew L. Biben is a partner of our Business Litigation Practice Group. Read more about him.","primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eMatthew Biben focuses his practice on complex negotiation and litigation of disputes, including regulatory and enforcement matters on behalf of both individuals and organizations. His diverse litigation practice includes representing financial institutions and FinTech companies in civil disputes, securities and bankruptcy litigation, and complex matters involving the government.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAs a former general counsel of a large bank and federal prosecutor, Matthew routinely acts as counsel in litigated disputes and internal investigations of both domestic and international matters involving, among others, the Department of Justice (DOJ), Securities Exchange Commission (SEC), Federal Reserve Board (FRB), Office of Comptroller of the Currency (OCC), Consumer Financial Protection Bureau (CFPB), New York Department of Financial Services (NYDFS), state attorneys general and foreign regulators.\u003c/p\u003e\n\u003cp\u003ePrior to joining private practice, Matthew served for three-and-a-half years at JPMorgan Chase, where he was Executive Vice President and General Counsel for Chase Consumer \u0026amp; Community Banking, which included JPMorgan Chase\u0026rsquo;s Private Wealth Management, Card and Merchant Services, Auto Finance, Student Loan, Consumer Banking, Business Banking and Mortgage Banking businesses.\u003c/p\u003e\n\u003cp\u003eMatthew also served as Executive Vice President and Deputy General Counsel of The Bank of New York Mellon Corporation for almost seven years, becoming the second youngest person in BNY\u0026rsquo;s history to be promoted to Executive Vice President. He also served as BNY Mellon\u0026rsquo;s Global Head of Litigation and supervised various corporate functions that included the Office of the Corporate Secretary.\u003c/p\u003e\n\u003cp\u003eMatthew spent the first 12 years of his career in government, serving in the U.S. Attorney\u0026rsquo;s Office for the Southern District of New York, where he was an Assistant U.S. Attorney in the Criminal Division and received the Attorney General\u0026rsquo;s Director Award for superior performance. Previously, he was an Assistant District Attorney in the New York County District Attorney\u0026rsquo;s Office. He argued numerous appeals in the Second Circuit Court of Appeals and was lead counsel in more than 25 federal and state trials.\u003c/p\u003e","matters":["\u003cp\u003e\u003cstrong\u003e\u003cem\u003eAnti-Money Laundering\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eRoutinely advise banks and non-banks on BSA/AML compliance and enforcement issues including:\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eSociete Generale\u003c/strong\u003e\u0026nbsp;before the FRB and the Federal Reserve Bank of New York and separately before the NYDFS in negotiating a successful settlement regarding the bank\u0026rsquo;s BSA/AML compliance and risk management programs\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eMashreq Bank\u003c/strong\u003e\u0026nbsp;in negotiating a favorable settlement with the NYDFS, NYFed, FRB, and OFAC resolving wide ranging BSA/AML and Sanctions issues\u003c/p\u003e","\u003cp\u003eSuccessfully defended\u0026nbsp;\u003cstrong\u003eHabib Bank\u003c/strong\u003e\u0026nbsp;against a $630 million lawsuit by the NYDFS and negotiating a $225 million settlement relating to long-running AML/BSA compliance issues and assisting Habib in winding down the business of their NY branch\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eCoinbase\u003c/strong\u003e\u0026nbsp;in sweeping NYDFS investigation relating to BSA/AML and other compliance issues\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;in responding to the DOJ investigation of Mossack Fonseca \u0026amp; and the \u0026ldquo;Panama Papers\u0026rdquo;\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eComplex Civil Litigation\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;and\u0026nbsp;\u003cstrong\u003eDraftKings\u003c/strong\u003e\u0026nbsp;in a landmark victory in the NY Court of Appeals legalizing interactive fantasy sports in New York State (garnering American Lawyer Litigator of the Week runner-up honors)\u003c/p\u003e","\u003cp\u003eRepresent\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;in a New York State Court litigation brought on by the former founders of FanDuel relating to merger acquisition violation\u003c/p\u003e","\u003cp\u003eRepresent\u0026nbsp;\u003cstrong\u003eBlackRock\u003c/strong\u003e\u0026nbsp;in litigation relating to mortgage-era fraud allegations\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eMacquarie Asset Management\u003c/strong\u003e\u0026nbsp;in a joint venture dispute relating to drag-along rights\u003c/p\u003e","\u003cp\u003eRepresent leading\u0026nbsp;\u003cstrong\u003eglobal investment bank\u003c/strong\u003e\u0026nbsp;in arbitration relating to a joint venture dispute\u003c/p\u003e","\u003cp\u003eRepresented ad hoc\u0026nbsp;\u003cstrong\u003e1st lien term lenders\u003c/strong\u003e\u0026nbsp;in the Mallinckrodt bankruptcy\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eFanDuel\u003c/strong\u003e\u0026nbsp;in a lawsuit and settlement with the New York Attorney General (NYAG) over the legality of daily fantasy sports and later resolving allegations of false advertising whereby the NYAG dropped its claims challenging the legality of FanDuel\u0026rsquo;s contests after a change in the New York State law permitting daily fantasy sports\u003c/p\u003e","\u003cp\u003eSuccessfully represented the Chairman of the board of\u003cstrong\u003e\u0026nbsp;Rio Tinto\u003c/strong\u003e\u0026nbsp;in a broad ranging SEC investigation into accounting fraud\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eBanks and Financial Institutions\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eIn addition to BSA/AML advice, I have extensively advised on bank regulatory compliance and enforcement issues, including the CFPB, the FRB, NYDFS, FDIC, OCC and others, including:\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eTruist\u003c/strong\u003e\u0026nbsp;in a long-running DOJ FIRREA investigation of their trust businesses in a cost-of-litigation settlement where all allegations were denied\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea global bank\u003c/strong\u003e\u0026nbsp;on fair lender compliance issue in relation to DFS investigation\u003c/p\u003e","\u003cp\u003eSuccessfully represented a\u0026nbsp;\u003cstrong\u003esuperregional bank\u003c/strong\u003e\u0026nbsp;in a CFPB into investigation into TISA compliance avoiding an enforcement action\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003efinancial institutions and individuals\u003c/strong\u003e\u0026nbsp;in SEC investigations, including the Chairman of the Board of a Fortune 100 company\u003c/p\u003e","\u003cp\u003eRepresented a leading\u0026nbsp;\u003cstrong\u003eFintech company\u003c/strong\u003e\u0026nbsp;in a CFPB investigation relating to FCRA and UDAAP allegations\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eToyota Financial Services\u003c/strong\u003e\u0026nbsp;in a DOJ and CFPB investigation and negotiating a favorable settlement relating to the indirect auto lender\u0026rsquo;s fair lending practices\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003ea senior executive of one of the largest global banks\u003c/strong\u003e\u0026nbsp;in a DOJ investigation of RMBS and a separate OCC investigation persuading both agencies after years of investigation to close their investigations without action\u003c/p\u003e","\u003cp\u003eLead an extensive internal investigation and representing\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;before the FRB and NYDFS concerning Regulation W compliance issues\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003ea large foreign bank\u003c/strong\u003e\u0026nbsp;in responding to a multi-state attorneys general investigation of its auto lending and securitization practices\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003esenior finance and actuarial employees\u003c/strong\u003e\u0026nbsp;of\u0026nbsp;\u003cstrong\u003eAMBAC\u003c/strong\u003e\u0026nbsp;in SEC investigation of accounting fraud\u003c/p\u003e","\u003cp\u003eRepresented the\u0026nbsp;\u003cstrong\u003eCFO of an insurance company\u003c/strong\u003e\u0026nbsp;in an investigation before the NYDFS which resulted in the matter being closed without action\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eAdmirals Bank\u003c/strong\u003e, as it restructured operations in the face of significant regulatory scrutiny and complex bank regulatory and enforcement issues\u003c/p\u003e","\u003cp\u003eSuccessfully represented\u0026nbsp;\u003cstrong\u003eRoot Insurance\u003c/strong\u003e\u0026nbsp;in a New York Attorney General investigation relating to data breach allegations\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003e\u003cem\u003eGovernance\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e\n\u003cp\u003eServed as a Director and Chair of the\u0026nbsp;\u003cstrong\u003eGovernance Committee\u003c/strong\u003e\u0026nbsp;of the largest privately held bank. BNY Melon Corporate Secretary was a direct report. Extensive pro bono governance work. Write and lecture on the topic. A sample of representations include:\u003c/p\u003e","\u003cp\u003eProvided\u0026nbsp;\u003cstrong\u003ethe Board of Directors of multiple financial institutions\u003c/strong\u003e\u0026nbsp;with advice on their annual self-evaluation as well as broader governance issues including expectations and guidance as applied to bank boards\u003c/p\u003e","\u003cp\u003eRepresented the\u0026nbsp;\u003cstrong\u003eBoard of Directors of Bed Bath \u0026amp; Beyond\u003c/strong\u003e\u0026nbsp;in an internal investigation concerning compensation and disclosure issues\u003c/p\u003e"],"recognitions":[{"title":"Ranked for his “standout expertise” in the category of “Banking (Enforcement \u0026 Investigations)”","detail":"Chamber USA – Nationwide (Band 3) 2020-2026"},{"title":"Nationally recommended in the category of Financial Services Litigation, “tenacious but balanced litigator” ","detail":"The Legal 500 US 2016-2026"},{"title":"Recognized as Benchmark Litigation “Litigation Star”","detail":"Benchmark Litigation"},{"title":"Recognized as Lawdragon 500 Leading Global Entertainment, Sports \u0026 Media Lawyer","detail":"Lawdragon, 2024-2026"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":9814}]},"capability_group_id":3},"created_at":"2026-02-24T23:17:27.000Z","updated_at":"2026-02-24T23:17:27.000Z","searchable_text":"Biben{{ FIELD }}{:title=\u0026gt;\"Ranked for his “standout expertise” in the category of “Banking (Enforcement \u0026amp; Investigations)”\", :detail=\u0026gt;\"Chamber USA – Nationwide (Band 3) 2020-2026\"}{{ FIELD }}{:title=\u0026gt;\"Nationally recommended in the category of Financial Services Litigation, “tenacious but balanced litigator” \", :detail=\u0026gt;\"The Legal 500 US 2016-2026\"}{{ FIELD }}{:title=\u0026gt;\"Recognized as Benchmark Litigation “Litigation Star”\", :detail=\u0026gt;\"Benchmark Litigation\"}{{ FIELD }}{:title=\u0026gt;\"Recognized as Lawdragon 500 Leading Global Entertainment, Sports \u0026amp; Media Lawyer\", :detail=\u0026gt;\"Lawdragon, 2024-2026\"}{{ FIELD }}Anti-Money Laundering\nRoutinely advise banks and non-banks on BSA/AML compliance and enforcement issues including:{{ FIELD }}Represented Societe Generale before the FRB and the Federal Reserve Bank of New York and separately before the NYDFS in negotiating a successful settlement regarding the bank’s BSA/AML compliance and risk management programs{{ FIELD }}Successfully represented Mashreq Bank in negotiating a favorable settlement with the NYDFS, NYFed, FRB, and OFAC resolving wide ranging BSA/AML and Sanctions issues{{ FIELD }}Successfully defended Habib Bank against a $630 million lawsuit by the NYDFS and negotiating a $225 million settlement relating to long-running AML/BSA compliance issues and assisting Habib in winding down the business of their NY branch{{ FIELD }}Successfully represented Coinbase in sweeping NYDFS investigation relating to BSA/AML and other compliance issues{{ FIELD }}Advised a large foreign bank in responding to the DOJ investigation of Mossack Fonseca \u0026amp; and the “Panama Papers”{{ FIELD }}Complex Civil Litigation\nRepresented FanDuel and DraftKings in a landmark victory in the NY Court of Appeals legalizing interactive fantasy sports in New York State (garnering American Lawyer Litigator of the Week runner-up honors){{ FIELD }}Represent FanDuel in a New York State Court litigation brought on by the former founders of FanDuel relating to merger acquisition violation{{ FIELD }}Represent BlackRock in litigation relating to mortgage-era fraud allegations{{ FIELD }}Represented Macquarie Asset Management in a joint venture dispute relating to drag-along rights{{ FIELD }}Represent leading global investment bank in arbitration relating to a joint venture dispute{{ FIELD }}Represented ad hoc 1st lien term lenders in the Mallinckrodt bankruptcy{{ FIELD }}Represented FanDuel in a lawsuit and settlement with the New York Attorney General (NYAG) over the legality of daily fantasy sports and later resolving allegations of false advertising whereby the NYAG dropped its claims challenging the legality of FanDuel’s contests after a change in the New York State law permitting daily fantasy sports{{ FIELD }}Successfully represented the Chairman of the board of Rio Tinto in a broad ranging SEC investigation into accounting fraud{{ FIELD }}Banks and Financial Institutions\nIn addition to BSA/AML advice, I have extensively advised on bank regulatory compliance and enforcement issues, including the CFPB, the FRB, NYDFS, FDIC, OCC and others, including:{{ FIELD }}Successfully represented Truist in a long-running DOJ FIRREA investigation of their trust businesses in a cost-of-litigation settlement where all allegations were denied{{ FIELD }}Advised a global bank on fair lender compliance issue in relation to DFS investigation{{ FIELD }}Successfully represented a superregional bank in a CFPB into investigation into TISA compliance avoiding an enforcement action{{ FIELD }}Represented financial institutions and individuals in SEC investigations, including the Chairman of the Board of a Fortune 100 company{{ FIELD }}Represented a leading Fintech company in a CFPB investigation relating to FCRA and UDAAP allegations{{ FIELD }}Successfully represented Toyota Financial Services in a DOJ and CFPB investigation and negotiating a favorable settlement relating to the indirect auto lender’s fair lending practices{{ FIELD }}Represented a senior executive of one of the largest global banks in a DOJ investigation of RMBS and a separate OCC investigation persuading both agencies after years of investigation to close their investigations without action{{ FIELD }}Lead an extensive internal investigation and representing a large foreign bank before the FRB and NYDFS concerning Regulation W compliance issues{{ FIELD }}Advised a large foreign bank in responding to a multi-state attorneys general investigation of its auto lending and securitization practices{{ FIELD }}Represented senior finance and actuarial employees of AMBAC in SEC investigation of accounting fraud{{ FIELD }}Represented the CFO of an insurance company in an investigation before the NYDFS which resulted in the matter being closed without action{{ FIELD }}Represented Admirals Bank, as it restructured operations in the face of significant regulatory scrutiny and complex bank regulatory and enforcement issues{{ FIELD }}Successfully represented Root Insurance in a New York Attorney General investigation relating to data breach allegations{{ FIELD }}Governance\nServed as a Director and Chair of the Governance Committee of the largest privately held bank. BNY Melon Corporate Secretary was a direct report. Extensive pro bono governance work. Write and lecture on the topic. A sample of representations include:{{ FIELD }}Provided the Board of Directors of multiple financial institutions with advice on their annual self-evaluation as well as broader governance issues including expectations and guidance as applied to bank boards{{ FIELD }}Represented the Board of Directors of Bed Bath \u0026amp; Beyond in an internal investigation concerning compensation and disclosure issues{{ FIELD }}Matthew Biben focuses his practice on complex negotiation and litigation of disputes, including regulatory and enforcement matters on behalf of both individuals and organizations. His diverse litigation practice includes representing financial institutions and FinTech companies in civil disputes, securities and bankruptcy litigation, and complex matters involving the government.\nAs a former general counsel of a large bank and federal prosecutor, Matthew routinely acts as counsel in litigated disputes and internal investigations of both domestic and international matters involving, among others, the Department of Justice (DOJ), Securities Exchange Commission (SEC), Federal Reserve Board (FRB), Office of Comptroller of the Currency (OCC), Consumer Financial Protection Bureau (CFPB), New York Department of Financial Services (NYDFS), state attorneys general and foreign regulators.\nPrior to joining private practice, Matthew served for three-and-a-half years at JPMorgan Chase, where he was Executive Vice President and General Counsel for Chase Consumer \u0026amp; Community Banking, which included JPMorgan Chase’s Private Wealth Management, Card and Merchant Services, Auto Finance, Student Loan, Consumer Banking, Business Banking and Mortgage Banking businesses.\nMatthew also served as Executive Vice President and Deputy General Counsel of The Bank of New York Mellon Corporation for almost seven years, becoming the second youngest person in BNY’s history to be promoted to Executive Vice President. He also served as BNY Mellon’s Global Head of Litigation and supervised various corporate functions that included the Office of the Corporate Secretary.\nMatthew spent the first 12 years of his career in government, serving in the U.S. Attorney’s Office for the Southern District of New York, where he was an Assistant U.S. Attorney in the Criminal Division and received the Attorney General’s Director Award for superior performance. Previously, he was an Assistant District Attorney in the New York County District Attorney’s Office. He argued numerous appeals in the Second Circuit Court of Appeals and was lead counsel in more than 25 federal and state trials. Matthew Biben lawyer Partner Ranked for his “standout expertise” in the category of “Banking (Enforcement \u0026amp; Investigations)” Chamber USA – Nationwide (Band 3) 2020-2026 Nationally recommended in the category of Financial Services Litigation, “tenacious but balanced litigator”  The Legal 500 US 2016-2026 Recognized as Benchmark Litigation “Litigation Star” Benchmark Litigation Recognized as Lawdragon 500 Leading Global Entertainment, Sports \u0026amp; Media Lawyer Lawdragon, 2024-2026 Cornell University Cornell Law School University of Pennsylvania University of Pennsylvania Law School Supreme Court of the United States U.S. Court of Appeals for the Second Circuit U.S. District Court for the Eastern District of New York U.S. District Court for the Southern District of New York New York University of Pennsylvania Carey Law School – Board of Trustees American Arbitration Association – Board Member New York Legal Assistance Group - Member Board of Directors New York Lawyers for the Public Interest - Director Anti-Money Laundering\nRoutinely advise banks and non-banks on BSA/AML compliance and enforcement issues including: Represented Societe Generale before the FRB and the Federal Reserve Bank of New York and separately before the NYDFS in negotiating a successful settlement regarding the bank’s BSA/AML compliance and risk management programs Successfully represented Mashreq Bank in negotiating a favorable settlement with the NYDFS, NYFed, FRB, and OFAC resolving wide ranging BSA/AML and Sanctions issues Successfully defended Habib Bank against a $630 million lawsuit by the NYDFS and negotiating a $225 million settlement relating to long-running AML/BSA compliance issues and assisting Habib in winding down the business of their NY branch Successfully represented Coinbase in sweeping NYDFS investigation relating to BSA/AML and other compliance issues Advised a large foreign bank in responding to the DOJ investigation of Mossack Fonseca \u0026amp; and the “Panama Papers” Complex Civil Litigation\nRepresented FanDuel and DraftKings in a landmark victory in the NY Court of Appeals legalizing interactive fantasy sports in New York State (garnering American Lawyer Litigator of the Week runner-up honors) Represent FanDuel in a New York State Court litigation brought on by the former founders of FanDuel relating to merger acquisition violation Represent BlackRock in litigation relating to mortgage-era fraud allegations Represented Macquarie Asset Management in a joint venture dispute relating to drag-along rights Represent leading global investment bank in arbitration relating to a joint venture dispute Represented ad hoc 1st lien term lenders in the Mallinckrodt bankruptcy Represented FanDuel in a lawsuit and settlement with the New York Attorney General (NYAG) over the legality of daily fantasy sports and later resolving allegations of false advertising whereby the NYAG dropped its claims challenging the legality of FanDuel’s contests after a change in the New York State law permitting daily fantasy sports Successfully represented the Chairman of the board of Rio Tinto in a broad ranging SEC investigation into accounting fraud Banks and Financial Institutions\nIn addition to BSA/AML advice, I have extensively advised on bank regulatory compliance and enforcement issues, including the CFPB, the FRB, NYDFS, FDIC, OCC and others, including: Successfully represented Truist in a long-running DOJ FIRREA investigation of their trust businesses in a cost-of-litigation settlement where all allegations were denied Advised a global bank on fair lender compliance issue in relation to DFS investigation Successfully represented a superregional bank in a CFPB into investigation into TISA compliance avoiding an enforcement action Represented financial institutions and individuals in SEC investigations, including the Chairman of the Board of a Fortune 100 company Represented a leading Fintech company in a CFPB investigation relating to FCRA and UDAAP allegations Successfully represented Toyota Financial Services in a DOJ and CFPB investigation and negotiating a favorable settlement relating to the indirect auto lender’s fair lending practices Represented a senior executive of one of the largest global banks in a DOJ investigation of RMBS and a separate OCC investigation persuading both agencies after years of investigation to close their investigations without action Lead an extensive internal investigation and representing a large foreign bank before the FRB and NYDFS concerning Regulation W compliance issues Advised a large foreign bank in responding to a multi-state attorneys general investigation of its auto lending and securitization practices Represented senior finance and actuarial employees of AMBAC in SEC investigation of accounting fraud Represented the CFO of an insurance company in an investigation before the NYDFS which resulted in the matter being closed without action Represented Admirals Bank, as it restructured operations in the face of significant regulatory scrutiny and complex bank regulatory and enforcement issues Successfully represented Root Insurance in a New York Attorney General investigation relating to data breach allegations Governance\nServed as a Director and Chair of the Governance Committee of the largest privately held bank. BNY Melon Corporate Secretary was a direct report. Extensive pro bono governance work. Write and lecture on the topic. A sample of representations include: Provided the Board of Directors of multiple financial institutions with advice on their annual self-evaluation as well as broader governance issues including expectations and guidance as applied to bank boards Represented the Board of Directors of Bed Bath \u0026amp; Beyond in an internal investigation concerning compensation and disclosure issues","searchable_name":"Matthew L. Biben (Matt)","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":202,"capability_group_featured":null,"home_page_featured":null},{"id":445658,"version":1,"owner_type":"Person","owner_id":679,"payload":{"bio":"\u003cp\u003ePat Brumbaugh represents attorneys and accountants when their most valuable asset is on the line: their reputation. Pat\u0026rsquo;s practice focuses on the representation of other professionals and their firms in all manner of litigation and in regulatory investigations and proceedings. A partner in our Professional Liability and Securities Enforcement and Regulation practices, Pat is both a seasoned litigator and a trusted counselor.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePat has represented issuers, accounting firms and underwriters in all manner of class action securities and shareholder derivative litigation. In addition, he has conducted internal investigations and represented clients before the Securities and Exchange Commission. In professional liability matters, Pat has represented other \u0026ldquo;Big Law\u0026rdquo; law firms and Big Four accounting firms in professional malpractice and related litigation\u003c/p\u003e\n\u003cp\u003ePat also serves as King \u0026amp; Spalding\u0026rsquo;s Co-General Counsel.\u003c/p\u003e","slug":"john-p-brumbaugh","email":"pbrumbaugh@kslaw.com","phone":"+1 404 664 2726","matters":["\u003cp\u003eDefended a l\u003cstrong data-redactor-tag=\"strong\"\u003earge Southeastern law firm\u003c/strong\u003e in legal malpractice lawsuit arising from a commercial real estate transaction. Most of the case against the firm was dismissed on summary judgment.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;a \u003cstrong data-redactor-tag=\"strong\"\u003elarge Southeastern law firm\u003c/strong\u003e against legal malpractice and breach of fiduciary duty claims arising from the sale of a company and related litigation.\u003c/p\u003e","\u003cp\u003eDefended a \u003cstrong data-redactor-tag=\"strong\"\u003eFlorida law firm\u003c/strong\u003e against allegations of fraud stemming from the firm\u0026rsquo;s representation of a client in bankruptcy proceedings. The court dismissed the law firm from the case for lack of personal jurisdiction.\u003c/p\u003e","\u003cp\u003eDefended a \u003cstrong data-redactor-tag=\"strong\"\u003elarge Southeastern law firm\u003c/strong\u003e in a legal malpractice action relating to the firm\u0026rsquo;s patent prosecution practice.\u003c/p\u003e","\u003cp\u003eRepresented a \u003cstrong data-redactor-tag=\"strong\"\u003eBig 4\u003c/strong\u003e accounting firm in multi-year SEC investigation.\u003c/p\u003e","\u003cp\u003eServed as lead trial counsel in\u0026nbsp;the Delaware Court of Chancery of a dispute concerning the winding up of a Delaware limited liability company.\u003c/p\u003e","\u003cp\u003eDefended a Fortune 50 company and certain of its current and former officers and directors in securities class action litigation and related shareholder derivative litigation filed in state and federal court.\u003c/p\u003e","\u003cp\u003eDefended an Atlanta-based health care company and the former members of its board of directors in class action litigation challenging the company\u0026rsquo;s acquisition.\u003c/p\u003e","\u003cp\u003eRepresented an underwriting syndicate of major investment banks in securities class action litigation in federal court stemming from a secondary offering underwritten by the banks.\u003c/p\u003e","\u003cp\u003eRepresented a \u003cstrong data-redactor-tag=\"strong\"\u003e\u003cem data-redactor-tag=\"em\"\u003epro bono\u003c/em\u003e client\u003c/strong\u003e on appeal from the denial of the client's federal habeas corpus petition. The Court of Appeals for the Eleventh Circuit reversed, overturning the client's conviction for kidnapping, on the ground that his appellate counsel on direct appeal was constitutionally ineffective.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[{"id":10}]},"expertise":[{"id":18,"guid":"18.capabilities","index":0,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":1,"source":"capabilities"},{"id":2,"guid":"2.capabilities","index":2,"source":"capabilities"},{"id":19,"guid":"19.capabilities","index":3,"source":"capabilities"},{"id":3,"guid":"3.capabilities","index":4,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":5,"source":"capabilities"},{"id":80,"guid":"80.capabilities","index":6,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":7,"source":"capabilities"},{"id":684,"guid":"684.smart_tags","index":8,"source":"smartTags"},{"id":685,"guid":"685.smart_tags","index":9,"source":"smartTags"},{"id":686,"guid":"686.smart_tags","index":10,"source":"smartTags"},{"id":74,"guid":"74.capabilities","index":11,"source":"capabilities"},{"id":128,"guid":"128.capabilities","index":12,"source":"capabilities"},{"id":1248,"guid":"1248.smart_tags","index":13,"source":"smartTags"}],"is_active":true,"last_name":"Brumbaugh","nick_name":"John","clerkships":[{"name":"Law Clerk, Hon. Peter T. Fay, U.S. Court of Appeals for the Eleventh Circuit","years_held":"1997 - 1998"}],"first_name":"John","title_rank":9999,"updated_by":202,"law_schools":[],"middle_name":"P.","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":119,"translated_fields":{"en":{"bio":"\u003cp\u003ePat Brumbaugh represents attorneys and accountants when their most valuable asset is on the line: their reputation. Pat\u0026rsquo;s practice focuses on the representation of other professionals and their firms in all manner of litigation and in regulatory investigations and proceedings. A partner in our Professional Liability and Securities Enforcement and Regulation practices, Pat is both a seasoned litigator and a trusted counselor.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePat has represented issuers, accounting firms and underwriters in all manner of class action securities and shareholder derivative litigation. In addition, he has conducted internal investigations and represented clients before the Securities and Exchange Commission. In professional liability matters, Pat has represented other \u0026ldquo;Big Law\u0026rdquo; law firms and Big Four accounting firms in professional malpractice and related litigation\u003c/p\u003e\n\u003cp\u003ePat also serves as King \u0026amp; Spalding\u0026rsquo;s Co-General Counsel.\u003c/p\u003e","matters":["\u003cp\u003eDefended a l\u003cstrong data-redactor-tag=\"strong\"\u003earge Southeastern law firm\u003c/strong\u003e in legal malpractice lawsuit arising from a commercial real estate transaction. Most of the case against the firm was dismissed on summary judgment.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;a \u003cstrong data-redactor-tag=\"strong\"\u003elarge Southeastern law firm\u003c/strong\u003e against legal malpractice and breach of fiduciary duty claims arising from the sale of a company and related litigation.\u003c/p\u003e","\u003cp\u003eDefended a \u003cstrong data-redactor-tag=\"strong\"\u003eFlorida law firm\u003c/strong\u003e against allegations of fraud stemming from the firm\u0026rsquo;s representation of a client in bankruptcy proceedings. The court dismissed the law firm from the case for lack of personal jurisdiction.\u003c/p\u003e","\u003cp\u003eDefended a \u003cstrong data-redactor-tag=\"strong\"\u003elarge Southeastern law firm\u003c/strong\u003e in a legal malpractice action relating to the firm\u0026rsquo;s patent prosecution practice.\u003c/p\u003e","\u003cp\u003eRepresented a \u003cstrong data-redactor-tag=\"strong\"\u003eBig 4\u003c/strong\u003e accounting firm in multi-year SEC investigation.\u003c/p\u003e","\u003cp\u003eServed as lead trial counsel in\u0026nbsp;the Delaware Court of Chancery of a dispute concerning the winding up of a Delaware limited liability company.\u003c/p\u003e","\u003cp\u003eDefended a Fortune 50 company and certain of its current and former officers and directors in securities class action litigation and related shareholder derivative litigation filed in state and federal court.\u003c/p\u003e","\u003cp\u003eDefended an Atlanta-based health care company and the former members of its board of directors in class action litigation challenging the company\u0026rsquo;s acquisition.\u003c/p\u003e","\u003cp\u003eRepresented an underwriting syndicate of major investment banks in securities class action litigation in federal court stemming from a secondary offering underwritten by the banks.\u003c/p\u003e","\u003cp\u003eRepresented a \u003cstrong data-redactor-tag=\"strong\"\u003e\u003cem data-redactor-tag=\"em\"\u003epro bono\u003c/em\u003e client\u003c/strong\u003e on appeal from the denial of the client's federal habeas corpus petition. The Court of Appeals for the Eleventh Circuit reversed, overturning the client's conviction for kidnapping, on the ground that his appellate counsel on direct appeal was constitutionally ineffective.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":4193}]},"capability_group_id":3},"created_at":"2026-02-06T22:06:07.000Z","updated_at":"2026-02-06T22:06:07.000Z","searchable_text":"Brumbaugh{{ FIELD }}Defended a large Southeastern law firm in legal malpractice lawsuit arising from a commercial real estate transaction. Most of the case against the firm was dismissed on summary judgment.{{ FIELD }}Defended a large Southeastern law firm against legal malpractice and breach of fiduciary duty claims arising from the sale of a company and related litigation.{{ FIELD }}Defended a Florida law firm against allegations of fraud stemming from the firm’s representation of a client in bankruptcy proceedings. The court dismissed the law firm from the case for lack of personal jurisdiction.{{ FIELD }}Defended a large Southeastern law firm in a legal malpractice action relating to the firm’s patent prosecution practice.{{ FIELD }}Represented a Big 4 accounting firm in multi-year SEC investigation.{{ FIELD }}Served as lead trial counsel in the Delaware Court of Chancery of a dispute concerning the winding up of a Delaware limited liability company.{{ FIELD }}Defended a Fortune 50 company and certain of its current and former officers and directors in securities class action litigation and related shareholder derivative litigation filed in state and federal court.{{ FIELD }}Defended an Atlanta-based health care company and the former members of its board of directors in class action litigation challenging the company’s acquisition.{{ FIELD }}Represented an underwriting syndicate of major investment banks in securities class action litigation in federal court stemming from a secondary offering underwritten by the banks.{{ FIELD }}Represented a pro bono client on appeal from the denial of the client's federal habeas corpus petition. The Court of Appeals for the Eleventh Circuit reversed, overturning the client's conviction for kidnapping, on the ground that his appellate counsel on direct appeal was constitutionally ineffective.{{ FIELD }}Pat Brumbaugh represents attorneys and accountants when their most valuable asset is on the line: their reputation. Pat’s practice focuses on the representation of other professionals and their firms in all manner of litigation and in regulatory investigations and proceedings. A partner in our Professional Liability and Securities Enforcement and Regulation practices, Pat is both a seasoned litigator and a trusted counselor.\nPat has represented issuers, accounting firms and underwriters in all manner of class action securities and shareholder derivative litigation. In addition, he has conducted internal investigations and represented clients before the Securities and Exchange Commission. In professional liability matters, Pat has represented other “Big Law” law firms and Big Four accounting firms in professional malpractice and related litigation\nPat also serves as King \u0026amp; Spalding’s Co-General Counsel. John Pat Brumbaugh Partner / General Counsel Dartmouth College  University of Michigan University of Michigan Law School U.S. Court of Appeals for the Seventh Circuit U.S. Court of Appeals for the Eleventh Circuit U.S. District Court for the Northern District of Georgia Florida Georgia State Bar of Georgia The Florida Bar Law Clerk, Hon. Peter T. Fay, U.S. Court of Appeals for the Eleventh Circuit Defended a large Southeastern law firm in legal malpractice lawsuit arising from a commercial real estate transaction. Most of the case against the firm was dismissed on summary judgment. Defended a large Southeastern law firm against legal malpractice and breach of fiduciary duty claims arising from the sale of a company and related litigation. Defended a Florida law firm against allegations of fraud stemming from the firm’s representation of a client in bankruptcy proceedings. The court dismissed the law firm from the case for lack of personal jurisdiction. Defended a large Southeastern law firm in a legal malpractice action relating to the firm’s patent prosecution practice. Represented a Big 4 accounting firm in multi-year SEC investigation. Served as lead trial counsel in the Delaware Court of Chancery of a dispute concerning the winding up of a Delaware limited liability company. Defended a Fortune 50 company and certain of its current and former officers and directors in securities class action litigation and related shareholder derivative litigation filed in state and federal court. Defended an Atlanta-based health care company and the former members of its board of directors in class action litigation challenging the company’s acquisition. Represented an underwriting syndicate of major investment banks in securities class action litigation in federal court stemming from a secondary offering underwritten by the banks. Represented a pro bono client on appeal from the denial of the client's federal habeas corpus petition. The Court of Appeals for the Eleventh Circuit reversed, overturning the client's conviction for kidnapping, on the ground that his appellate counsel on direct appeal was constitutionally ineffective.","searchable_name":"John P. Brumbaugh","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":202,"capability_group_featured":null,"home_page_featured":null},{"id":436483,"version":1,"owner_type":"Person","owner_id":5129,"payload":{"bio":"\u003cp\u003eLisa Bugni is a partner in the firm's Securities and Shareholder Litigation practice. Her practice focuses on a variety of securities litigation matters and other complex commercial and business-related litigation. Ms. Bugni has experience in securities fraud class actions, shareholder derivative suits, M\u0026amp;A litigation, appraisal actions, and post-closing transaction disputes.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eMs. Bugni received her J.D., magna cum laude, in 2003 from the University of Miami School of Law, where she was elected to membership in the Order of the Coif and served as articles and comments editor for the University of Miami Inter-American Law Review. She received her B.A.,\u0026nbsp;\u003cem\u003emagna cum laude\u003c/em\u003e, in American Studies from the University of Notre Dame in 2000.\u003c/p\u003e\n\u003cp\u003eMs. Bugni is admitted to practice before the state courts of California, Georgia and Florida, the United States Court of Appeals for the Eleventh Circuit and the United States District Courts for the Northern District of Georgia, the Middle District of Georgia, and the Southern District of Florida. She is a member of the Georgia Bar Association, the Florida Bar Association and the Atlanta Bar Association.\u003c/p\u003e","slug":"lisa-bugni","email":"lbugni@kslaw.com","phone":"+1 404 934 0565","matters":["\u003cp\u003eDefeated a shareholder\u0026rsquo;s attempt to enjoin Apple\u0026rsquo;s merger with fingerprint sensor company, AuthenTec.\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of a securities class action brought against an international power company and its directors and officers.\u003c/p\u003e","\u003cp\u003ePrevailed in a post-closing transaction arbitration for a large home improvement specialty retailer.\u003c/p\u003e","\u003cp\u003eDefeated in arbitration a claimant\u0026rsquo;s request for tens of millions of dollars for alleged breach of a product development contract.\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of an action brought by a former executive arising out of a merger.\u0026nbsp;\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of a consumer class action alleging false advertising.\u003c/p\u003e","\u003cp\u003eServed as counsel in several securities class actions to companies, directors and officers, including multiple heath care companies, a large packaging company, a consumer products company, and a technology company.\u003c/p\u003e","\u003cp\u003eServed as counsel in several M\u0026amp;A litigation matters to companies, directors and officers, including matters involving technology, banking, consumer products, and health care companies.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":19,"guid":"19.capabilities","index":0,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":1,"source":"capabilities"},{"id":3,"guid":"3.capabilities","index":2,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":3,"source":"capabilities"},{"id":766,"guid":"766.smart_tags","index":4,"source":"smartTags"},{"id":74,"guid":"74.capabilities","index":5,"source":"capabilities"}],"is_active":true,"last_name":"Bugni","nick_name":"Lisa","clerkships":[{"name":"Intern, Magistrate Stephen T. Brown, U.S. District Court for the Southern District of Florida","years_held":"2001"}],"first_name":"Lisa","title_rank":9999,"updated_by":101,"law_schools":[{"id":2236,"meta":{"degree":"J.D.","honors":"magna cum laude, Order of the Coif","is_law_school":1,"graduation_date":"2003-01-01 00:00:00 UTC"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eLisa Bugni is a partner in the firm's Securities and Shareholder Litigation practice. Her practice focuses on a variety of securities litigation matters and other complex commercial and business-related litigation. Ms. Bugni has experience in securities fraud class actions, shareholder derivative suits, M\u0026amp;A litigation, appraisal actions, and post-closing transaction disputes.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eMs. Bugni received her J.D., magna cum laude, in 2003 from the University of Miami School of Law, where she was elected to membership in the Order of the Coif and served as articles and comments editor for the University of Miami Inter-American Law Review. She received her B.A.,\u0026nbsp;\u003cem\u003emagna cum laude\u003c/em\u003e, in American Studies from the University of Notre Dame in 2000.\u003c/p\u003e\n\u003cp\u003eMs. Bugni is admitted to practice before the state courts of California, Georgia and Florida, the United States Court of Appeals for the Eleventh Circuit and the United States District Courts for the Northern District of Georgia, the Middle District of Georgia, and the Southern District of Florida. She is a member of the Georgia Bar Association, the Florida Bar Association and the Atlanta Bar Association.\u003c/p\u003e","matters":["\u003cp\u003eDefeated a shareholder\u0026rsquo;s attempt to enjoin Apple\u0026rsquo;s merger with fingerprint sensor company, AuthenTec.\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of a securities class action brought against an international power company and its directors and officers.\u003c/p\u003e","\u003cp\u003ePrevailed in a post-closing transaction arbitration for a large home improvement specialty retailer.\u003c/p\u003e","\u003cp\u003eDefeated in arbitration a claimant\u0026rsquo;s request for tens of millions of dollars for alleged breach of a product development contract.\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of an action brought by a former executive arising out of a merger.\u0026nbsp;\u003c/p\u003e","\u003cp\u003eObtained dismissal with prejudice of a consumer class action alleging false advertising.\u003c/p\u003e","\u003cp\u003eServed as counsel in several securities class actions to companies, directors and officers, including multiple heath care companies, a large packaging company, a consumer products company, and a technology company.\u003c/p\u003e","\u003cp\u003eServed as counsel in several M\u0026amp;A litigation matters to companies, directors and officers, including matters involving technology, banking, consumer products, and health care companies.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":5918}]},"capability_group_id":3},"created_at":"2025-09-02T04:55:38.000Z","updated_at":"2025-09-02T04:55:38.000Z","searchable_text":"Bugni{{ FIELD }}Defeated a shareholder’s attempt to enjoin Apple’s merger with fingerprint sensor company, AuthenTec.{{ FIELD }}Obtained dismissal with prejudice of a securities class action brought against an international power company and its directors and officers.{{ FIELD }}Prevailed in a post-closing transaction arbitration for a large home improvement specialty retailer.{{ FIELD }}Defeated in arbitration a claimant’s request for tens of millions of dollars for alleged breach of a product development contract.{{ FIELD }}Obtained dismissal with prejudice of an action brought by a former executive arising out of a merger. {{ FIELD }}Obtained dismissal with prejudice of a consumer class action alleging false advertising.{{ FIELD }}Served as counsel in several securities class actions to companies, directors and officers, including multiple heath care companies, a large packaging company, a consumer products company, and a technology company.{{ FIELD }}Served as counsel in several M\u0026amp;A litigation matters to companies, directors and officers, including matters involving technology, banking, consumer products, and health care companies.{{ FIELD }}Lisa Bugni is a partner in the firm's Securities and Shareholder Litigation practice. Her practice focuses on a variety of securities litigation matters and other complex commercial and business-related litigation. Ms. Bugni has experience in securities fraud class actions, shareholder derivative suits, M\u0026amp;A litigation, appraisal actions, and post-closing transaction disputes.\nMs. Bugni received her J.D., magna cum laude, in 2003 from the University of Miami School of Law, where she was elected to membership in the Order of the Coif and served as articles and comments editor for the University of Miami Inter-American Law Review. She received her B.A., magna cum laude, in American Studies from the University of Notre Dame in 2000.\nMs. Bugni is admitted to practice before the state courts of California, Georgia and Florida, the United States Court of Appeals for the Eleventh Circuit and the United States District Courts for the Northern District of Georgia, the Middle District of Georgia, and the Southern District of Florida. She is a member of the Georgia Bar Association, the Florida Bar Association and the Atlanta Bar Association. Partner University of Notre Dame Notre Dame Law School University of Miami University of Miami School of Law U.S. Court of Appeals for the Fourth Circuit U.S. Court of Appeals for the Sixth Circuit U.S. Court of Appeals for the Ninth Circuit U.S. Court of Appeals for the Eleventh Circuit U.S. District Court for the Central District of California U.S. District Court for the Northern District of California U.S. District Court for the Southern District of California U.S. District Court for the Middle District of Florida U.S. District Court for the Southern District of Florida U.S. District Court for the Middle District of Georgia U.S. District Court for the Northern District of Georgia California Florida Georgia Dress for Success Friends of the Children Intern, Magistrate Stephen T. Brown, U.S. District Court for the Southern District of Florida Defeated a shareholder’s attempt to enjoin Apple’s merger with fingerprint sensor company, AuthenTec. Obtained dismissal with prejudice of a securities class action brought against an international power company and its directors and officers. Prevailed in a post-closing transaction arbitration for a large home improvement specialty retailer. Defeated in arbitration a claimant’s request for tens of millions of dollars for alleged breach of a product development contract. Obtained dismissal with prejudice of an action brought by a former executive arising out of a merger.  Obtained dismissal with prejudice of a consumer class action alleging false advertising. Served as counsel in several securities class actions to companies, directors and officers, including multiple heath care companies, a large packaging company, a consumer products company, and a technology company. Served as counsel in several M\u0026amp;A litigation matters to companies, directors and officers, including matters involving technology, banking, consumer products, and health care companies.","searchable_name":"Lisa Bugni","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":101,"capability_group_featured":null,"home_page_featured":null},{"id":446575,"version":1,"owner_type":"Person","owner_id":6858,"payload":{"bio":"\u003cp\u003eCosta is a partner in the London office of King \u0026amp; Spalding. He represents domestic and international financial institutions, fund managers, investment advisers, insurance brokers, Fintech and payments clients on a broad range of financial services regulatory, ESG and compliance matters across the UK, EU, ADGM and DIFC regulatory frameworks.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eCosta routinely acts for institutional clients advising on all aspects of the UK financial services regulatory framework. He regularly advises on the UK FCA authorisation and conduct rules, change in control requirements, the regulatory frameworks under UK, FCA, EU ESMA, ADGM FSRA and DFSA rules and guidance for investment managers and alternative investment\u0026nbsp;fund managers, including the AIFMD assets stripping, pre-marketing and marketing rules, PRIIPS, international funds private placement frameworks, EU SFDR and UK SDR regimes.\u003c/p\u003e\n\u003cp\u003eHe also\u0026nbsp;has extensive experience in advising clients on multi-jurisdictional regulatory compliance programmes, cross-border offering of financial and payment products and services, financial sanctions, market abuse, financial crimes and anti-money laundering legislation.\u003c/p\u003e\n\u003cp\u003eCosta is recognized as a \u0026lsquo;Next generation Partner\u0026rsquo; in the Legal 500 and as \u0026lsquo;Up and Coming\u0026rsquo; in Chambers UK for his work in financial services (non-contentious/regulatory).\u0026nbsp;\u003c/p\u003e","slug":"konstantin-burkov","email":"cburkov@kslaw.com","phone":null,"matters":["\u003cp\u003eAdvised large US Private Equity manager on the acquisition of the UK significant payment institution, including the change in control approvals in the UK, EU and over a dozen of international markets.\u003c/p\u003e","\u003cp\u003eAdvised U.S. financial institution on the post-Brexit restructuring of the European operation, including the separation of the UK and EU businesses.\u003c/p\u003e","\u003cp\u003eAdvised US, UK and EU investment managers on the regulatory aspects of the launch and marketing of private equity, credit, infrastructure and real estate funds strategies.\u003c/p\u003e","\u003cp\u003eAdvised UK, EU and US based clients on the new EU sustainability initiatives, including the SFDR and Taxonomy Regulation, various aspects of the new EU cross border funds distribution regime, MiFID II and AIFMD (including the draft AIFMD II).\u003c/p\u003e","\u003cp\u003eLed on multi-jurisdictional global regulatory compliance projects for large German and US financial institutions covering multiple areas of law, including licencing, anti-money laundering, regulatory reporting and other conduct obligations in multiple jurisdictions in the EU and outside the EU.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":75,"guid":"75.capabilities","index":0,"source":"capabilities"},{"id":78,"guid":"78.capabilities","index":1,"source":"capabilities"},{"id":33,"guid":"33.capabilities","index":2,"source":"capabilities"},{"id":36,"guid":"36.capabilities","index":3,"source":"capabilities"},{"id":82,"guid":"82.capabilities","index":4,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":5,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":6,"source":"capabilities"},{"id":699,"guid":"699.smart_tags","index":7,"source":"smartTags"},{"id":765,"guid":"765.smart_tags","index":8,"source":"smartTags"},{"id":1148,"guid":"1148.smart_tags","index":9,"source":"smartTags"}],"is_active":true,"last_name":"Burkov","nick_name":"Costa","clerkships":[],"first_name":"Konstantin","title_rank":9999,"updated_by":202,"law_schools":[{"id":2999,"meta":{"degree":"LL.B.","honors":"","is_law_school":"1","graduation_date":"2011-01-01 00:00:00"},"order":0,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":[{"title":"Chambers UK 2025 \u0026 2026","detail":"Chambers"},{"title":"Up and Coming : Financial Services: Non-contentious Regulatory","detail":" Chamber UK 2025 - Chambers UK 2025"},{"title":"‘Next generation Partner’, Financial services: non-contentious/regulatory","detail":"Legal 500 UK , 2026 - Legal 500 UK, 2026"},{"title":"“Partner to Watch”, Financial Services: Non-contentious Regulatory","detail":"Chambers and Partners, 2021 - 2024"}],"linked_in_url":"https://www.linkedin.com/in/konstantin-costa-burkov-b5311547/?originalSubdomain=uk","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eCosta is a partner in the London office of King \u0026amp; Spalding. He represents domestic and international financial institutions, fund managers, investment advisers, insurance brokers, Fintech and payments clients on a broad range of financial services regulatory, ESG and compliance matters across the UK, EU, ADGM and DIFC regulatory frameworks.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eCosta routinely acts for institutional clients advising on all aspects of the UK financial services regulatory framework. He regularly advises on the UK FCA authorisation and conduct rules, change in control requirements, the regulatory frameworks under UK, FCA, EU ESMA, ADGM FSRA and DFSA rules and guidance for investment managers and alternative investment\u0026nbsp;fund managers, including the AIFMD assets stripping, pre-marketing and marketing rules, PRIIPS, international funds private placement frameworks, EU SFDR and UK SDR regimes.\u003c/p\u003e\n\u003cp\u003eHe also\u0026nbsp;has extensive experience in advising clients on multi-jurisdictional regulatory compliance programmes, cross-border offering of financial and payment products and services, financial sanctions, market abuse, financial crimes and anti-money laundering legislation.\u003c/p\u003e\n\u003cp\u003eCosta is recognized as a \u0026lsquo;Next generation Partner\u0026rsquo; in the Legal 500 and as \u0026lsquo;Up and Coming\u0026rsquo; in Chambers UK for his work in financial services (non-contentious/regulatory).\u0026nbsp;\u003c/p\u003e","matters":["\u003cp\u003eAdvised large US Private Equity manager on the acquisition of the UK significant payment institution, including the change in control approvals in the UK, EU and over a dozen of international markets.\u003c/p\u003e","\u003cp\u003eAdvised U.S. financial institution on the post-Brexit restructuring of the European operation, including the separation of the UK and EU businesses.\u003c/p\u003e","\u003cp\u003eAdvised US, UK and EU investment managers on the regulatory aspects of the launch and marketing of private equity, credit, infrastructure and real estate funds strategies.\u003c/p\u003e","\u003cp\u003eAdvised UK, EU and US based clients on the new EU sustainability initiatives, including the SFDR and Taxonomy Regulation, various aspects of the new EU cross border funds distribution regime, MiFID II and AIFMD (including the draft AIFMD II).\u003c/p\u003e","\u003cp\u003eLed on multi-jurisdictional global regulatory compliance projects for large German and US financial institutions covering multiple areas of law, including licencing, anti-money laundering, regulatory reporting and other conduct obligations in multiple jurisdictions in the EU and outside the EU.\u003c/p\u003e"],"recognitions":[{"title":"Chambers UK 2025 \u0026 2026","detail":"Chambers"},{"title":"Up and Coming : Financial Services: Non-contentious Regulatory","detail":" Chamber UK 2025 - Chambers UK 2025"},{"title":"‘Next generation Partner’, Financial services: non-contentious/regulatory","detail":"Legal 500 UK , 2026 - Legal 500 UK, 2026"},{"title":"“Partner to Watch”, Financial Services: Non-contentious Regulatory","detail":"Chambers and Partners, 2021 - 2024"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":12124}]},"capability_group_id":1},"created_at":"2026-03-09T15:51:55.000Z","updated_at":"2026-03-09T15:51:55.000Z","searchable_text":"Burkov{{ FIELD }}{:title=\u0026gt;\"Chambers UK 2025 \u0026amp; 2026\", :detail=\u0026gt;\"Chambers\"}{{ FIELD }}{:title=\u0026gt;\"Up and Coming : Financial Services: Non-contentious Regulatory\", :detail=\u0026gt;\" Chamber UK 2025 - Chambers UK 2025\"}{{ FIELD }}{:title=\u0026gt;\"‘Next generation Partner’, Financial services: non-contentious/regulatory\", :detail=\u0026gt;\"Legal 500 UK , 2026 - Legal 500 UK, 2026\"}{{ FIELD }}{:title=\u0026gt;\"“Partner to Watch”, Financial Services: Non-contentious Regulatory\", :detail=\u0026gt;\"Chambers and Partners, 2021 - 2024\"}{{ FIELD }}Advised large US Private Equity manager on the acquisition of the UK significant payment institution, including the change in control approvals in the UK, EU and over a dozen of international markets.{{ FIELD }}Advised U.S. financial institution on the post-Brexit restructuring of the European operation, including the separation of the UK and EU businesses.{{ FIELD }}Advised US, UK and EU investment managers on the regulatory aspects of the launch and marketing of private equity, credit, infrastructure and real estate funds strategies.{{ FIELD }}Advised UK, EU and US based clients on the new EU sustainability initiatives, including the SFDR and Taxonomy Regulation, various aspects of the new EU cross border funds distribution regime, MiFID II and AIFMD (including the draft AIFMD II).{{ FIELD }}Led on multi-jurisdictional global regulatory compliance projects for large German and US financial institutions covering multiple areas of law, including licencing, anti-money laundering, regulatory reporting and other conduct obligations in multiple jurisdictions in the EU and outside the EU.{{ FIELD }}Costa is a partner in the London office of King \u0026amp; Spalding. He represents domestic and international financial institutions, fund managers, investment advisers, insurance brokers, Fintech and payments clients on a broad range of financial services regulatory, ESG and compliance matters across the UK, EU, ADGM and DIFC regulatory frameworks. \nCosta routinely acts for institutional clients advising on all aspects of the UK financial services regulatory framework. He regularly advises on the UK FCA authorisation and conduct rules, change in control requirements, the regulatory frameworks under UK, FCA, EU ESMA, ADGM FSRA and DFSA rules and guidance for investment managers and alternative investment fund managers, including the AIFMD assets stripping, pre-marketing and marketing rules, PRIIPS, international funds private placement frameworks, EU SFDR and UK SDR regimes.\nHe also has extensive experience in advising clients on multi-jurisdictional regulatory compliance programmes, cross-border offering of financial and payment products and services, financial sanctions, market abuse, financial crimes and anti-money laundering legislation.\nCosta is recognized as a ‘Next generation Partner’ in the Legal 500 and as ‘Up and Coming’ in Chambers UK for his work in financial services (non-contentious/regulatory).  Partner Chambers UK 2025 \u0026amp; 2026 Chambers Up and Coming : Financial Services: Non-contentious Regulatory  Chamber UK 2025 - Chambers UK 2025 ‘Next generation Partner’, Financial services: non-contentious/regulatory Legal 500 UK , 2026 - Legal 500 UK, 2026 “Partner to Watch”, Financial Services: Non-contentious Regulatory Chambers and Partners, 2021 - 2024 University of Law, London University of Law, London King's College London  England and Wales The Law Society of England and Wales Advised large US Private Equity manager on the acquisition of the UK significant payment institution, including the change in control approvals in the UK, EU and over a dozen of international markets. Advised U.S. financial institution on the post-Brexit restructuring of the European operation, including the separation of the UK and EU businesses. Advised US, UK and EU investment managers on the regulatory aspects of the launch and marketing of private equity, credit, infrastructure and real estate funds strategies. Advised UK, EU and US based clients on the new EU sustainability initiatives, including the SFDR and Taxonomy Regulation, various aspects of the new EU cross border funds distribution regime, MiFID II and AIFMD (including the draft AIFMD II). Led on multi-jurisdictional global regulatory compliance projects for large German and US financial institutions covering multiple areas of law, including licencing, anti-money laundering, regulatory reporting and other conduct obligations in multiple jurisdictions in the EU and outside the EU.","searchable_name":"Konstantin Burkov (Costa)","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":202,"capability_group_featured":null,"home_page_featured":null},{"id":427549,"version":1,"owner_type":"Person","owner_id":613,"payload":{"bio":"\u003cp\u003eChris Burris focuses on white-collar criminal defense, corporate internal investigations, regulatory enforcement action defense and complex litigation. As a partner in our Special Matters and Government Investigations practice, Chris defends corporations and individuals in a variety of criminal, regulatory, False Claims Act and other matters.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAs a defense lawyer, Chris represents leading corporations and individuals in criminal and regulatory enforcement matters. He has particular experience with defending clients in False Claims Act/\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matters, handling dozens of cases concerning a variety of issues.\u003c/p\u003e\n\u003cp\u003eIn addition, Chris counsels clients in matters concerning privacy, information security and related issues. He also conducts internal investigations on behalf of management, boards of directors and audit committees.\u003c/p\u003e\n\u003cp\u003ePreviously, Chris served on active duty in the U.S. Navy Judge Advocate General\u0026rsquo;s Corps for nearly six years, where he gained broad experience in trial prosecution and defense, appeals and internal investigations. As a Commander in the Naval Reserves, he currently serves as the Executive Officer of the Navy Reserve unit overseeing issues involving international and operational law, admiralty and maritime law, environmental law, and information operations and intelligence law.\u003c/p\u003e","slug":"christopher-burris","email":"cburris@kslaw.com","phone":null,"matters":["\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major international financial institution\u003c/strong\u003e in the internal investigation and self-disclosure of accusations of employee participation in an alleged Ponzi scheme.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea large publicly traded manufacturing company\u003c/strong\u003e in the internal investigation and self-disclosure of potential Bank Secrecy Act violations.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean elected state official\u003c/strong\u003e during a federal investigation of public corruption, which led to no charges being filed.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean owner of a large privately held manufacturing company\u003c/strong\u003e in the defense of a federal criminal tax investigation.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean owner of a privately held national pharmaceutical distributor\u003c/strong\u003e in Section 2255 proceedings regarding his conviction on mail/wire fraud and RICO charges stemming from allegations of grey market recycling of drugs.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003enumerous national retail and specialty pharmacy chains\u003c/strong\u003e in multiple False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e matters focusing on a variety of issues, including allegations of the payment of kickbacks, improper submission of dosage quantities, the failure to timely refund credit balances, coordination of benefits issues, the submission of incorrect \u0026ldquo;usual and customary\u0026rdquo; prices to government payors and the dispensing of expired drugs.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major national financial institution\u003c/strong\u003e in False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e litigation involving allegations of charging borrowers unallowable fees under the Veteran Administration's Home Loan Guaranty Program.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major national skilled nursing facility chain\u003c/strong\u003e in False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e litigation focusing on quality of care issues.\u003c/p\u003e","\u003cp\u003eConducted independent internal investigations on various issues, including allegations of improper accounting, theft of corporate resources, backdated stock option, FCPA violations, and misconduct in the execution of government contracts and grant programs.\u003c/p\u003e","\u003cp\u003eConducted an internal review for \u003cstrong data-redactor-tag=\"strong\"\u003ean international nongovernmenta\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003el organization\u003c/strong\u003e regarding potential FCPA issues related to an ongoing cooperative project with a foreign government.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea large publicly traded corporation\u003c/strong\u003e in one of the first national investigations by a multi-state attorneys' general task force focusing on the loss of consumer information held by the company.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea Fortune 500 financial services company\u003c/strong\u003e in a data breach response and in ensuing investigations by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), which focused on Regulation S-P\u0026rsquo;s requirement to safeguard consumer financial and personal information.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea Fortune 100 healthcare company\u003c/strong\u003e in responding to a data security incident \u0026mdash; and an ensuing DHHS OCR investigation \u0026mdash; involving the theft of customers\u0026rsquo; personal and medical information. The internal investigation that was conducted led to DHHS OCR and customer disclosures pursuant to the requirements of HIPAA and various state data breach disclosure statutes.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major international telecommunications company\u003c/strong\u003e in its response to the disclosure of the United States' Terrorist Surveillance Program (TSP), and issues and litigation arising from the company\u0026rsquo;s alleged cooperation with the TSP.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[{"id":24}]},"expertise":[{"id":107,"guid":"107.capabilities","index":0,"source":"capabilities"},{"id":81,"guid":"81.capabilities","index":1,"source":"capabilities"},{"id":2,"guid":"2.capabilities","index":2,"source":"capabilities"},{"id":24,"guid":"24.capabilities","index":3,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":4,"source":"capabilities"},{"id":6,"guid":"6.capabilities","index":5,"source":"capabilities"},{"id":750,"guid":"750.smart_tags","index":6,"source":"smartTags"},{"id":780,"guid":"780.smart_tags","index":7,"source":"smartTags"},{"id":766,"guid":"766.smart_tags","index":8,"source":"smartTags"},{"id":11,"guid":"11.capabilities","index":9,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":10,"source":"smartTags"}],"is_active":true,"last_name":"Burris","nick_name":"Chris","clerkships":[],"first_name":"Christopher","title_rank":9999,"updated_by":101,"law_schools":[],"middle_name":"C.","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eChris Burris focuses on white-collar criminal defense, corporate internal investigations, regulatory enforcement action defense and complex litigation. As a partner in our Special Matters and Government Investigations practice, Chris defends corporations and individuals in a variety of criminal, regulatory, False Claims Act and other matters.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAs a defense lawyer, Chris represents leading corporations and individuals in criminal and regulatory enforcement matters. He has particular experience with defending clients in False Claims Act/\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matters, handling dozens of cases concerning a variety of issues.\u003c/p\u003e\n\u003cp\u003eIn addition, Chris counsels clients in matters concerning privacy, information security and related issues. He also conducts internal investigations on behalf of management, boards of directors and audit committees.\u003c/p\u003e\n\u003cp\u003ePreviously, Chris served on active duty in the U.S. Navy Judge Advocate General\u0026rsquo;s Corps for nearly six years, where he gained broad experience in trial prosecution and defense, appeals and internal investigations. As a Commander in the Naval Reserves, he currently serves as the Executive Officer of the Navy Reserve unit overseeing issues involving international and operational law, admiralty and maritime law, environmental law, and information operations and intelligence law.\u003c/p\u003e","matters":["\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major international financial institution\u003c/strong\u003e in the internal investigation and self-disclosure of accusations of employee participation in an alleged Ponzi scheme.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea large publicly traded manufacturing company\u003c/strong\u003e in the internal investigation and self-disclosure of potential Bank Secrecy Act violations.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean elected state official\u003c/strong\u003e during a federal investigation of public corruption, which led to no charges being filed.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean owner of a large privately held manufacturing company\u003c/strong\u003e in the defense of a federal criminal tax investigation.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ean owner of a privately held national pharmaceutical distributor\u003c/strong\u003e in Section 2255 proceedings regarding his conviction on mail/wire fraud and RICO charges stemming from allegations of grey market recycling of drugs.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003enumerous national retail and specialty pharmacy chains\u003c/strong\u003e in multiple False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e matters focusing on a variety of issues, including allegations of the payment of kickbacks, improper submission of dosage quantities, the failure to timely refund credit balances, coordination of benefits issues, the submission of incorrect \u0026ldquo;usual and customary\u0026rdquo; prices to government payors and the dispensing of expired drugs.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major national financial institution\u003c/strong\u003e in False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e litigation involving allegations of charging borrowers unallowable fees under the Veteran Administration's Home Loan Guaranty Program.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major national skilled nursing facility chain\u003c/strong\u003e in False Claims Act /\u003cem data-redactor-tag=\"em\"\u003equi tam\u003c/em\u003e litigation focusing on quality of care issues.\u003c/p\u003e","\u003cp\u003eConducted independent internal investigations on various issues, including allegations of improper accounting, theft of corporate resources, backdated stock option, FCPA violations, and misconduct in the execution of government contracts and grant programs.\u003c/p\u003e","\u003cp\u003eConducted an internal review for \u003cstrong data-redactor-tag=\"strong\"\u003ean international nongovernmenta\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003el organization\u003c/strong\u003e regarding potential FCPA issues related to an ongoing cooperative project with a foreign government.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea large publicly traded corporation\u003c/strong\u003e in one of the first national investigations by a multi-state attorneys' general task force focusing on the loss of consumer information held by the company.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea Fortune 500 financial services company\u003c/strong\u003e in a data breach response and in ensuing investigations by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), which focused on Regulation S-P\u0026rsquo;s requirement to safeguard consumer financial and personal information.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea Fortune 100 healthcare company\u003c/strong\u003e in responding to a data security incident \u0026mdash; and an ensuing DHHS OCR investigation \u0026mdash; involving the theft of customers\u0026rsquo; personal and medical information. The internal investigation that was conducted led to DHHS OCR and customer disclosures pursuant to the requirements of HIPAA and various state data breach disclosure statutes.\u003c/p\u003e","\u003cp\u003eRepresented \u003cstrong data-redactor-tag=\"strong\"\u003ea major international telecommunications company\u003c/strong\u003e in its response to the disclosure of the United States' Terrorist Surveillance Program (TSP), and issues and litigation arising from the company\u0026rsquo;s alleged cooperation with the TSP.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":4195}]},"capability_group_id":2},"created_at":"2025-05-26T05:02:00.000Z","updated_at":"2025-05-26T05:02:00.000Z","searchable_text":"Burris{{ FIELD }}Represented a major international financial institution in the internal investigation and self-disclosure of accusations of employee participation in an alleged Ponzi scheme.{{ FIELD }}Represented a large publicly traded manufacturing company in the internal investigation and self-disclosure of potential Bank Secrecy Act violations.{{ FIELD }}Represented an elected state official during a federal investigation of public corruption, which led to no charges being filed.{{ FIELD }}Represented an owner of a large privately held manufacturing company in the defense of a federal criminal tax investigation.{{ FIELD }}Represented an owner of a privately held national pharmaceutical distributor in Section 2255 proceedings regarding his conviction on mail/wire fraud and RICO charges stemming from allegations of grey market recycling of drugs.{{ FIELD }}Represented numerous national retail and specialty pharmacy chains in multiple False Claims Act /qui tam matters focusing on a variety of issues, including allegations of the payment of kickbacks, improper submission of dosage quantities, the failure to timely refund credit balances, coordination of benefits issues, the submission of incorrect “usual and customary” prices to government payors and the dispensing of expired drugs.{{ FIELD }}Represented a major national financial institution in False Claims Act /qui tam litigation involving allegations of charging borrowers unallowable fees under the Veteran Administration's Home Loan Guaranty Program.{{ FIELD }}Represented a major national skilled nursing facility chain in False Claims Act /qui tam litigation focusing on quality of care issues.{{ FIELD }}Conducted independent internal investigations on various issues, including allegations of improper accounting, theft of corporate resources, backdated stock option, FCPA violations, and misconduct in the execution of government contracts and grant programs.{{ FIELD }}Conducted an internal review for an international nongovernmental organization regarding potential FCPA issues related to an ongoing cooperative project with a foreign government.{{ FIELD }}Represented a large publicly traded corporation in one of the first national investigations by a multi-state attorneys' general task force focusing on the loss of consumer information held by the company.{{ FIELD }}Represented a Fortune 500 financial services company in a data breach response and in ensuing investigations by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), which focused on Regulation S-P’s requirement to safeguard consumer financial and personal information.{{ FIELD }}Represented a Fortune 100 healthcare company in responding to a data security incident — and an ensuing DHHS OCR investigation — involving the theft of customers’ personal and medical information. The internal investigation that was conducted led to DHHS OCR and customer disclosures pursuant to the requirements of HIPAA and various state data breach disclosure statutes.{{ FIELD }}Represented a major international telecommunications company in its response to the disclosure of the United States' Terrorist Surveillance Program (TSP), and issues and litigation arising from the company’s alleged cooperation with the TSP.{{ FIELD }}Chris Burris focuses on white-collar criminal defense, corporate internal investigations, regulatory enforcement action defense and complex litigation. As a partner in our Special Matters and Government Investigations practice, Chris defends corporations and individuals in a variety of criminal, regulatory, False Claims Act and other matters.\nAs a defense lawyer, Chris represents leading corporations and individuals in criminal and regulatory enforcement matters. He has particular experience with defending clients in False Claims Act/qui tam matters, handling dozens of cases concerning a variety of issues.\nIn addition, Chris counsels clients in matters concerning privacy, information security and related issues. He also conducts internal investigations on behalf of management, boards of directors and audit committees.\nPreviously, Chris served on active duty in the U.S. Navy Judge Advocate General’s Corps for nearly six years, where he gained broad experience in trial prosecution and defense, appeals and internal investigations. As a Commander in the Naval Reserves, he currently serves as the Executive Officer of the Navy Reserve unit overseeing issues involving international and operational law, admiralty and maritime law, environmental law, and information operations and intelligence law. Christopher C Burris Partner Vanderbilt University Vanderbilt University School of Law University of North Carolina at Chapel Hill University of North Carolina School of Law Georgetown University Georgetown University Law Center Supreme Court of the United States U.S. District Court for the Western District of North Carolina Georgia North Carolina Represented a major international financial institution in the internal investigation and self-disclosure of accusations of employee participation in an alleged Ponzi scheme. Represented a large publicly traded manufacturing company in the internal investigation and self-disclosure of potential Bank Secrecy Act violations. Represented an elected state official during a federal investigation of public corruption, which led to no charges being filed. Represented an owner of a large privately held manufacturing company in the defense of a federal criminal tax investigation. Represented an owner of a privately held national pharmaceutical distributor in Section 2255 proceedings regarding his conviction on mail/wire fraud and RICO charges stemming from allegations of grey market recycling of drugs. Represented numerous national retail and specialty pharmacy chains in multiple False Claims Act /qui tam matters focusing on a variety of issues, including allegations of the payment of kickbacks, improper submission of dosage quantities, the failure to timely refund credit balances, coordination of benefits issues, the submission of incorrect “usual and customary” prices to government payors and the dispensing of expired drugs. Represented a major national financial institution in False Claims Act /qui tam litigation involving allegations of charging borrowers unallowable fees under the Veteran Administration's Home Loan Guaranty Program. Represented a major national skilled nursing facility chain in False Claims Act /qui tam litigation focusing on quality of care issues. Conducted independent internal investigations on various issues, including allegations of improper accounting, theft of corporate resources, backdated stock option, FCPA violations, and misconduct in the execution of government contracts and grant programs. Conducted an internal review for an international nongovernmental organization regarding potential FCPA issues related to an ongoing cooperative project with a foreign government. Represented a large publicly traded corporation in one of the first national investigations by a multi-state attorneys' general task force focusing on the loss of consumer information held by the company. Represented a Fortune 500 financial services company in a data breach response and in ensuing investigations by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), which focused on Regulation S-P’s requirement to safeguard consumer financial and personal information. Represented a Fortune 100 healthcare company in responding to a data security incident — and an ensuing DHHS OCR investigation — involving the theft of customers’ personal and medical information. The internal investigation that was conducted led to DHHS OCR and customer disclosures pursuant to the requirements of HIPAA and various state data breach disclosure statutes. Represented a major international telecommunications company in its response to the disclosure of the United States' Terrorist Surveillance Program (TSP), and issues and litigation arising from the company’s alleged cooperation with the TSP.","searchable_name":"Christopher C. Burris (Chris)","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":101,"capability_group_featured":null,"home_page_featured":null},{"id":446322,"version":1,"owner_type":"Person","owner_id":5928,"payload":{"bio":"\u003cp\u003eSteven advises clients on investment adviser,\u0026nbsp;broker-dealer, bank, and commodities regulatory considerations, including regulatory approvals for new registrants and changes in business activities, regulatory examinations, marketing, guidance on key contracts, and day-to-day compliance with the applicable rule-sets and regulatory questions, among other aspects of his practice.\u0026nbsp; Steven also has a particular background with respect to cross-border considerations of the same.\u003c/p\u003e","slug":"steven-blau","email":"sblau@kslaw.com","phone":null,"matters":["\u003cp\u003e\u003cstrong\u003eFormation and expansion of broker-dealers\u003c/strong\u003e\u003cbr /\u003eFormation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage, private banking and wealth management, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003eBroker-dealers involved in investigations and enforcement\u003c/strong\u003e\u003cbr /\u003eRepresentation of broker-dealers involved in SEC and FINRA investigations and enforcement actions, including with respect to: books and records retention; structured notes; ADR trading; trading in securities issued in accordance with Rule 144A; advertising (including fund\u0026nbsp; advertising materials); dealing in products of affiliated issuers, FINRA IPO allocation rules, the SEC net capital rule, and trade reporting rules (including both TRACE and OATS reporting).\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003eAdvice regarding investment management matters\u003c/strong\u003e\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":75,"guid":"75.capabilities","index":0,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":1,"source":"capabilities"},{"id":26,"guid":"26.capabilities","index":2,"source":"capabilities"},{"id":33,"guid":"33.capabilities","index":3,"source":"capabilities"},{"id":78,"guid":"78.capabilities","index":4,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":5,"source":"capabilities"}],"is_active":true,"last_name":"Blau","nick_name":"Steven","clerkships":[],"first_name":"Steven","title_rank":9999,"updated_by":32,"law_schools":[{"id":245,"meta":{"degree":"J.D.","honors":"","is_law_school":"1","graduation_date":"2008-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":"Robert","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":14,"translated_fields":{"en":{"bio":"\u003cp\u003eSteven advises clients on investment adviser,\u0026nbsp;broker-dealer, bank, and commodities regulatory considerations, including regulatory approvals for new registrants and changes in business activities, regulatory examinations, marketing, guidance on key contracts, and day-to-day compliance with the applicable rule-sets and regulatory questions, among other aspects of his practice.\u0026nbsp; Steven also has a particular background with respect to cross-border considerations of the same.\u003c/p\u003e","matters":["\u003cp\u003e\u003cstrong\u003eFormation and expansion of broker-dealers\u003c/strong\u003e\u003cbr /\u003eFormation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage, private banking and wealth management, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003eBroker-dealers involved in investigations and enforcement\u003c/strong\u003e\u003cbr /\u003eRepresentation of broker-dealers involved in SEC and FINRA investigations and enforcement actions, including with respect to: books and records retention; structured notes; ADR trading; trading in securities issued in accordance with Rule 144A; advertising (including fund\u0026nbsp; advertising materials); dealing in products of affiliated issuers, FINRA IPO allocation rules, the SEC net capital rule, and trade reporting rules (including both TRACE and OATS reporting).\u003c/p\u003e","\u003cp\u003e\u003cstrong\u003eAdvice regarding investment management matters\u003c/strong\u003e\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":8865}]},"capability_group_id":1},"created_at":"2026-03-02T21:59:43.000Z","updated_at":"2026-03-02T21:59:43.000Z","searchable_text":"Blau{{ FIELD }}Formation and expansion of broker-dealersFormation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage, private banking and wealth management, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading{{ FIELD }}Broker-dealers involved in investigations and enforcementRepresentation of broker-dealers involved in SEC and FINRA investigations and enforcement actions, including with respect to: books and records retention; structured notes; ADR trading; trading in securities issued in accordance with Rule 144A; advertising (including fund  advertising materials); dealing in products of affiliated issuers, FINRA IPO allocation rules, the SEC net capital rule, and trade reporting rules (including both TRACE and OATS reporting).{{ FIELD }}Advice regarding investment management matters{{ FIELD }}Steven advises clients on investment adviser, broker-dealer, bank, and commodities regulatory considerations, including regulatory approvals for new registrants and changes in business activities, regulatory examinations, marketing, guidance on key contracts, and day-to-day compliance with the applicable rule-sets and regulatory questions, among other aspects of his practice.  Steven also has a particular background with respect to cross-border considerations of the same. Counsel University of Virginia University of Virginia School of Law Boston College Boston College Law School New York Boston College Law Review Formation and expansion of broker-dealersFormation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage, private banking and wealth management, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading Broker-dealers involved in investigations and enforcementRepresentation of broker-dealers involved in SEC and FINRA investigations and enforcement actions, including with respect to: books and records retention; structured notes; ADR trading; trading in securities issued in accordance with Rule 144A; advertising (including fund  advertising materials); dealing in products of affiliated issuers, FINRA IPO allocation rules, the SEC net capital rule, and trade reporting rules (including both TRACE and OATS reporting). Advice regarding investment management matters","searchable_name":"Steven Robert Blau","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":32,"capability_group_featured":null,"home_page_featured":null},{"id":436433,"version":1,"owner_type":"Person","owner_id":3821,"payload":{"bio":"\u003cp\u003eAlexander Blumberg is a senior\u0026nbsp;associate with King \u0026amp; Spalding\u0026rsquo;s Special Matters and Government Investigations practice. His practice focuses on white-collar criminal defense, internal corporate investigations, and complex civil litigation.\u0026nbsp;\u0026nbsp;He also has experience with congressional investigations and compliance counseling.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAlexander joined the firm after serving as a law clerk to the Honorable Beverly B. Martin of the United States Court of Appeals for the\u0026nbsp;Eleventh Circuit as well as the Honorable Leigh Martin May\u0026nbsp;of the United States District Court for the Northern District of Georgia.\u003c/p\u003e\n\u003cp\u003eAlexander graduated from Emory University,\u0026nbsp;\u003cem\u003esumma cum laude\u003c/em\u003e, with a B.A. in Political Science in 2013. He then attended Harvard Law School, where he earned his J.D.,\u0026nbsp;\u003cem\u003ecum laude\u003c/em\u003e, in 2016. While at law school, Alexander served as Supervising Editor for the\u0026nbsp;\u003cem\u003eHarvard Law Review\u003c/em\u003e.\u003c/p\u003e\n\u003cp\u003eAlexander also maintains an active pro bono appellate practice.\u0026nbsp; He has been appointed counsel by the U.S. Court of Appeals for the Eleventh Circuit, and authored briefs and presented oral argument before that Court on behalf of indigent clients.\u003c/p\u003e","slug":"alexander-blumberg","email":"ablumberg@kslaw.com","phone":null,"matters":null,"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":11,"guid":"11.capabilities","index":0,"source":"capabilities"},{"id":2,"guid":"2.capabilities","index":1,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":2,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":3,"source":"smartTags"},{"id":1199,"guid":"1199.smart_tags","index":4,"source":"smartTags"},{"id":766,"guid":"766.smart_tags","index":5,"source":"smartTags"},{"id":1168,"guid":"1168.smart_tags","index":6,"source":"smartTags"},{"id":1188,"guid":"1188.smart_tags","index":7,"source":"smartTags"},{"id":24,"guid":"24.capabilities","index":8,"source":"capabilities"},{"id":687,"guid":"687.smart_tags","index":9,"source":"smartTags"},{"id":1434,"guid":"1434.smart_tags","index":10,"source":"smartTags"}],"is_active":true,"last_name":"Blumberg","nick_name":"Alex","clerkships":[{"name":"Law Clerk, The Honorable Beverly B. Martin, U.S. Court of Appeals for the Eleventh Circuit","years_held":"2016 - 2017"},{"name":"Law Clerk, The Honorable Leigh Martin May, U.S. District Court for the Northern District of Georgia","years_held":"2017 - 2018"}],"first_name":"Alexander","title_rank":9999,"updated_by":202,"law_schools":[{"id":824,"meta":{"degree":"J.D.","honors":"cum laude","is_law_school":"1","graduation_date":"2016-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":75,"translated_fields":{"en":{"bio":"\u003cp\u003eAlexander Blumberg is a senior\u0026nbsp;associate with King \u0026amp; Spalding\u0026rsquo;s Special Matters and Government Investigations practice. His practice focuses on white-collar criminal defense, internal corporate investigations, and complex civil litigation.\u0026nbsp;\u0026nbsp;He also has experience with congressional investigations and compliance counseling.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAlexander joined the firm after serving as a law clerk to the Honorable Beverly B. Martin of the United States Court of Appeals for the\u0026nbsp;Eleventh Circuit as well as the Honorable Leigh Martin May\u0026nbsp;of the United States District Court for the Northern District of Georgia.\u003c/p\u003e\n\u003cp\u003eAlexander graduated from Emory University,\u0026nbsp;\u003cem\u003esumma cum laude\u003c/em\u003e, with a B.A. in Political Science in 2013. He then attended Harvard Law School, where he earned his J.D.,\u0026nbsp;\u003cem\u003ecum laude\u003c/em\u003e, in 2016. While at law school, Alexander served as Supervising Editor for the\u0026nbsp;\u003cem\u003eHarvard Law Review\u003c/em\u003e.\u003c/p\u003e\n\u003cp\u003eAlexander also maintains an active pro bono appellate practice.\u0026nbsp; He has been appointed counsel by the U.S. Court of Appeals for the Eleventh Circuit, and authored briefs and presented oral argument before that Court on behalf of indigent clients.\u003c/p\u003e"},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":6419}]},"capability_group_id":2},"created_at":"2025-09-02T04:53:37.000Z","updated_at":"2025-09-02T04:53:37.000Z","searchable_text":"Blumberg{{ FIELD }}Alexander Blumberg is a senior associate with King \u0026amp; Spalding’s Special Matters and Government Investigations practice. His practice focuses on white-collar criminal defense, internal corporate investigations, and complex civil litigation.  He also has experience with congressional investigations and compliance counseling.\nAlexander joined the firm after serving as a law clerk to the Honorable Beverly B. Martin of the United States Court of Appeals for the Eleventh Circuit as well as the Honorable Leigh Martin May of the United States District Court for the Northern District of Georgia.\nAlexander graduated from Emory University, summa cum laude, with a B.A. in Political Science in 2013. He then attended Harvard Law School, where he earned his J.D., cum laude, in 2016. While at law school, Alexander served as Supervising Editor for the Harvard Law Review.\nAlexander also maintains an active pro bono appellate practice.  He has been appointed counsel by the U.S. Court of Appeals for the Eleventh Circuit, and authored briefs and presented oral argument before that Court on behalf of indigent clients. Senior Associate Emory University Emory University School of Law Harvard University Harvard Law School U.S. Court of Appeals for the Eleventh Circuit U.S. District Court for the Middle District of Georgia U.S. District Court for the Northern District of Georgia Georgia Court of Appeals of Georgia Supreme Court of Georgia Atlanta Bar Association Federal Bar Association Harvard Law Review Law Clerk, The Honorable Beverly B. Martin, U.S. Court of Appeals for the Eleventh Circuit Law Clerk, The Honorable Leigh Martin May, U.S. District Court for the Northern District of Georgia","searchable_name":"Alexander Blumberg (Alex)","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":202,"capability_group_featured":null,"home_page_featured":null}]}}