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[[--readmore--]]\u003c/span\u003e\u003c/p\u003e\n\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003eHe provides advice to market participants on a worldwide basis with respect to regulatory, transactional, trading and markets issues, with particular emphasis on U.S. regulation of securities broker-dealers, asset managers, clearing agencies, and electronic trading systems.\u003c/span\u003e\u003c/p\u003e\n\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003eRussell represents broker-dealers and asset managers on all aspects of those business\u0026rsquo; life cycles, with particular emphasis on regulation of private banks and wealth managers; investment banks; equity and fixed-income trading operations; research businesses; regulation of syndicates; and electronic trading systems.\u0026nbsp; Russell regularly represents globally important financial institutions, including state-owned financial institutions, on their cross-border activities.\u0026nbsp; Russell also regularly represents SIFMA with respect to various issues in respect of SEC and FINRA regulation.\u003c/span\u003e\u003c/p\u003e","slug":"russell-sacks","email":"rsacks@kslaw.com","phone":null,"matters":["\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eFormation and expansion of broker-dealers\u003c/strong\u003e\u003cbr /\u003e\u003c/span\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\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eRepresentation of clients seeking regulatory relief\u003c/strong\u003e\u003cbr /\u003e\u003c/span\u003eSIFMA, in connection with: adoption of the Financial Industry Regulatory Authority\u0026rsquo;s (\u0026ldquo;FINRA\u0026rdquo;) front-running Rule 5270; with respect to FINRA\u0026rsquo;s Corporate Financing and IPO Allocation rules; and in connection with SEC regulation of Transfer Agents.\u003c/p\u003e","\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eBroker-dealers involved in investigations and enforcement\u003c/strong\u003e\u003cbr /\u003e\u003c/span\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 to financial institutions involved in capital markets, or merger and acquisition transactions\u003cbr /\u003e\u003c/strong\u003eMerrill Lynch in its acquisition by Bank of America\u003cbr /\u003eUBS in the acquisition of the private client and brokerage business of McDonald Investments\u003cbr /\u003eThe consortium of European banks led by Royal Bank of Scotland, in its unsolicited tender for ABN AMRO\u003cbr /\u003eGeneral Electric Co. (GE) on the sale of GE Asset Management Inc. (GEAM) to State Street Corp for $485 million\u003cbr /\u003eIta\u0026uacute; in its merger with Unibanco\u003cbr /\u003eCredit Suisse Securities in the sale of its U.S. and Latin American Private Wealth businesses to Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney LLC, respectively\u003cbr /\u003eBlackstone in connection with the spin-off of its financial and strategic advisory services, restructuring and reorganization advisory services to form PJT Partners, an independent financial advisory firm founded by Paul J. Taubman\u003cbr /\u003eEvercore Partners, In its acquisition of ISI\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":20,"guid":"20.capabilities","index":3,"source":"capabilities"},{"id":26,"guid":"26.capabilities","index":4,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":5,"source":"capabilities"},{"id":1261,"guid":"1261.smart_tags","index":6,"source":"smartTags"},{"id":699,"guid":"699.smart_tags","index":7,"source":"smartTags"}],"is_active":true,"last_name":"Sacks","nick_name":"Russell","clerkships":[{"name":"Law Clerk, The Honourable Justice Allen M. Linden, Federal Court of Appeal, Ottawa, Canada","years_held":"1998 - 1999"}],"first_name":"Russell","title_rank":9999,"updated_by":32,"law_schools":[{"id":2912,"meta":{"degree":"LL.B.","honors":"with honors","is_law_school":"1","graduation_date":"1998-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":"David","name_suffix":"","recognitions":[{"title":"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory","detail":"2023"},{"title":"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory","detail":"2020"},{"title":"Lawyers Alliance for New York, Cornerstone Award","detail":"2014"}],"linked_in_url":"https://www.linkedin.com/in/russellsacks/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003eRussell Sacks is a financial services regulatory partner in King \u0026amp; Spalding\u0026rsquo;s Corporate, Finance and Investments practice. [[--readmore--]]\u003c/span\u003e\u003c/p\u003e\n\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003eHe provides advice to market participants on a worldwide basis with respect to regulatory, transactional, trading and markets issues, with particular emphasis on U.S. regulation of securities broker-dealers, asset managers, clearing agencies, and electronic trading systems.\u003c/span\u003e\u003c/p\u003e\n\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003eRussell represents broker-dealers and asset managers on all aspects of those business\u0026rsquo; life cycles, with particular emphasis on regulation of private banks and wealth managers; investment banks; equity and fixed-income trading operations; research businesses; regulation of syndicates; and electronic trading systems.\u0026nbsp; Russell regularly represents globally important financial institutions, including state-owned financial institutions, on their cross-border activities.\u0026nbsp; Russell also regularly represents SIFMA with respect to various issues in respect of SEC and FINRA regulation.\u003c/span\u003e\u003c/p\u003e","matters":["\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eFormation and expansion of broker-dealers\u003c/strong\u003e\u003cbr /\u003e\u003c/span\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\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eRepresentation of clients seeking regulatory relief\u003c/strong\u003e\u003cbr /\u003e\u003c/span\u003eSIFMA, in connection with: adoption of the Financial Industry Regulatory Authority\u0026rsquo;s (\u0026ldquo;FINRA\u0026rdquo;) front-running Rule 5270; with respect to FINRA\u0026rsquo;s Corporate Financing and IPO Allocation rules; and in connection with SEC regulation of Transfer Agents.\u003c/p\u003e","\u003cp\u003e\u003cspan style=\"font-weight: 400;\"\u003e\u003cstrong\u003eBroker-dealers involved in investigations and enforcement\u003c/strong\u003e\u003cbr /\u003e\u003c/span\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 to financial institutions involved in capital markets, or merger and acquisition transactions\u003cbr /\u003e\u003c/strong\u003eMerrill Lynch in its acquisition by Bank of America\u003cbr /\u003eUBS in the acquisition of the private client and brokerage business of McDonald Investments\u003cbr /\u003eThe consortium of European banks led by Royal Bank of Scotland, in its unsolicited tender for ABN AMRO\u003cbr /\u003eGeneral Electric Co. (GE) on the sale of GE Asset Management Inc. (GEAM) to State Street Corp for $485 million\u003cbr /\u003eIta\u0026uacute; in its merger with Unibanco\u003cbr /\u003eCredit Suisse Securities in the sale of its U.S. and Latin American Private Wealth businesses to Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney LLC, respectively\u003cbr /\u003eBlackstone in connection with the spin-off of its financial and strategic advisory services, restructuring and reorganization advisory services to form PJT Partners, an independent financial advisory firm founded by Paul J. Taubman\u003cbr /\u003eEvercore Partners, In its acquisition of ISI\u003c/p\u003e"],"recognitions":[{"title":"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory","detail":"2023"},{"title":"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory","detail":"2020"},{"title":"Lawyers Alliance for New York, Cornerstone Award","detail":"2014"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":8599}]},"capability_group_id":1},"created_at":"2025-11-13T04:58:32.000Z","updated_at":"2025-11-13T04:58:32.000Z","searchable_text":"Sacks{{ FIELD }}{:title=\u0026gt;\"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory\", :detail=\u0026gt;\"2023\"}{{ FIELD }}{:title=\u0026gt;\"IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory\", :detail=\u0026gt;\"2020\"}{{ FIELD }}{:title=\u0026gt;\"Lawyers Alliance for New York, Cornerstone Award\", :detail=\u0026gt;\"2014\"}{{ 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 }}Representation of clients seeking regulatory reliefSIFMA, in connection with: adoption of the Financial Industry Regulatory Authority’s (“FINRA”) front-running Rule 5270; with respect to FINRA’s Corporate Financing and IPO Allocation rules; and in connection with SEC regulation of Transfer Agents.{{ 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 to financial institutions involved in capital markets, or merger and acquisition transactionsMerrill Lynch in its acquisition by Bank of AmericaUBS in the acquisition of the private client and brokerage business of McDonald InvestmentsThe consortium of European banks led by Royal Bank of Scotland, in its unsolicited tender for ABN AMROGeneral Electric Co. (GE) on the sale of GE Asset Management Inc. (GEAM) to State Street Corp for $485 millionItaú in its merger with UnibancoCredit Suisse Securities in the sale of its U.S. and Latin American Private Wealth businesses to Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney LLC, respectivelyBlackstone in connection with the spin-off of its financial and strategic advisory services, restructuring and reorganization advisory services to form PJT Partners, an independent financial advisory firm founded by Paul J. TaubmanEvercore Partners, In its acquisition of ISI{{ FIELD }}Russell Sacks is a financial services regulatory partner in King \u0026amp; Spalding’s Corporate, Finance and Investments practice. \nHe provides advice to market participants on a worldwide basis with respect to regulatory, transactional, trading and markets issues, with particular emphasis on U.S. regulation of securities broker-dealers, asset managers, clearing agencies, and electronic trading systems.\nRussell represents broker-dealers and asset managers on all aspects of those business’ life cycles, with particular emphasis on regulation of private banks and wealth managers; investment banks; equity and fixed-income trading operations; research businesses; regulation of syndicates; and electronic trading systems.  Russell regularly represents globally important financial institutions, including state-owned financial institutions, on their cross-border activities.  Russell also regularly represents SIFMA with respect to various issues in respect of SEC and FINRA regulation. Partner IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory 2023 IFLR1000, “Highly Regarded Lawyer” for Financial Regulatory 2020 Lawyers Alliance for New York, Cornerstone Award 2014 Columbia University Columbia University School of Law University of Toronto University of Toronto New York Member, American Bar Association: Committee on Federal Regulation of Securities, Subcommittee on NASD Corporate Finance Rules and Committee on State Regulation of Securities Law Clerk, The Honourable Justice Allen M. Linden, Federal Court of Appeal, Ottawa, Canada 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 Representation of clients seeking regulatory reliefSIFMA, in connection with: adoption of the Financial Industry Regulatory Authority’s (“FINRA”) front-running Rule 5270; with respect to FINRA’s Corporate Financing and IPO Allocation rules; and in connection with SEC regulation of Transfer Agents. 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 to financial institutions involved in capital markets, or merger and acquisition transactionsMerrill Lynch in its acquisition by Bank of AmericaUBS in the acquisition of the private client and brokerage business of McDonald InvestmentsThe consortium of European banks led by Royal Bank of Scotland, in its unsolicited tender for ABN AMROGeneral Electric Co. (GE) on the sale of GE Asset Management Inc. (GEAM) to State Street Corp for $485 millionItaú in its merger with UnibancoCredit Suisse Securities in the sale of its U.S. and Latin American Private Wealth businesses to Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney LLC, respectivelyBlackstone in connection with the spin-off of its financial and strategic advisory services, restructuring and reorganization advisory services to form PJT Partners, an independent financial advisory firm founded by Paul J. TaubmanEvercore Partners, In its acquisition of ISI","searchable_name":"Russell David Sacks","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":426410,"version":1,"owner_type":"Person","owner_id":3373,"payload":{"bio":"\u003cp\u003eDan Sale defends clients in high-stakes government and Congressional investigations, enforcement proceedings, and parallel civil litigation.\u0026nbsp; Concentrating in complex criminal and civil litigation, Dan regularly represents life sciences companies, financial institutions, other highly-regulated companies, and their boards and senior executives in high-profile and sensitive investigations and litigation.\u0026nbsp; Dan has special experience in matters involving: life sciences criminal and civil investigations; Congressional investigations;\u0026nbsp;the False Claims Act; financial crimes, the Foreign Corrupt Practices Act (FCPA);\u0026nbsp; antitrust and market manipulation matters; the securities laws; whistleblower cases; and transnational tax investigations.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eDan has special experience in cases involving allegations of off-label promotion and kickbacks in the life sciences industry and represented clients in the three largest Anti-Kickback Statute investigations ever resolved with DOJ.\u0026nbsp; Dan also has special experience in state attorney general investigations, and has personally negotiated quiet resolutions with all 50 state AG offices and the District of Columbia.\u0026nbsp; In addition, Dan has considerable experience defending clients in multi-jurisdictional investigations and litigation conducted cooperatively by United States, European, Middle Eastern, Asian and African authorities\u003c/p\u003e\n\u003cp\u003eThe Special Matters \u0026amp; Government Investigations group has been twice recognized by\u0026nbsp;\u003cem\u003eLaw 360\u003c/em\u003e\u0026nbsp;as the \u0026ldquo;White-Collar Group of the Year\u0026rdquo; and described as \u0026ldquo;the premier firm in this practice area\u0026rdquo; by the\u0026nbsp;\u003cem\u003eU.S. News \u0026amp; World Report/Best Lawyers\u0026rsquo;\u003c/em\u003e\u0026nbsp;\u0026ldquo;Best Law Firms\u0026rdquo; survey.\u003c/p\u003e\n\u003cp\u003eDan began his legal career as a law clerk to the Honorable Richard D. Bennett of the United States District Court for the District of Maryland. \u0026nbsp;He received his J.D. from Georgetown University Law Center, where he was an Editorial Board Member of the Tax Lawyer law journal, and his B.A. in economics from Yale University, where he was a Division I All New England Scholar Athlete lacrosse player.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eDan holds Top Secret/SCI security clearances until their expiration.\u003c/p\u003e\n\u003cp\u003e\u003cstrong\u003ePublications\u003c/strong\u003e\u003c/p\u003e\n\u003cul\u003e\n\u003cli\u003eDan is a regular contributor to the American Bar Association's Criminal Litigation Section's Practice Points publication\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eThe US v. Vascular Solutions Acquittal: Three Lessons for Targets of Off-Label Promotion Enforcement\u003c/em\u003e, Washington Legal Foundation Legal Backgrounder (2016)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eRecent Trends in Health Care Enforcement and Compliance\u003c/em\u003e, Inside the Minds: Health Care Law Enforcement and Compliance (Apastore 2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eThe Future of Off-Label Promotion Enforcement in the Wake of Caronia \u0026mdash; Toward a First Amendment Safe Harbor\u003c/em\u003e, The Sedona Conference Journal, Volume 14 (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eOff-Label Promotion: The Criminalization of Scientific Exchange\u003c/em\u003e, Pharma Magazine (UK) (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eFDA as Arbiter of Truth? The First Amendment, Caronia, and the Future of Off-Label Promotion Enforcement\u003c/em\u003e, ABA White Collar Crime (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eTenure Trap: Third Circuit Joins Sixth in Holding Tenure Buy-out Payments Subject to FICA Taxation in University of Pittsburgh v. United States\u003c/em\u003e, The Tax Lawyer, Volume 63 (2010)\u003c/li\u003e\n\u003c/ul\u003e","slug":"daniel-sale","email":"dsale@kslaw.com","phone":null,"matters":["\u003cp\u003eRepresenting\u0026nbsp;\u003cem\u003epro bono\u003c/em\u003e\u0026nbsp;a former Army Ranger convicted by court martial of murder in Iraq, resulting in a full Presidential pardon.\u003c/p\u003e","\u003cp\u003eRepresenting an individual in connection with the Special Counsel investigation conducted by Robert Mueller.\u003c/p\u003e","\u003cp\u003eRepresenting a global pharmaceutical company in an industry-wide investigation regarding donations to charitable patient assistance foundations.\u003c/p\u003e","\u003cp\u003eSecured a declination of all criminal and civil liability for a global medical device manufacturer in an investigation involving off-label promotion and fraud issues\u003c/p\u003e","\u003cp\u003eRepresented Vascular Solutions, Inc., a publicly traded medical device manufacturer that was indicted on federal criminal charges relating to off-label promotion and acquitted by a jury of all charges after a four week trial in February 2016.\u003c/p\u003e","\u003cp\u003eRepresenting several individual witnesses and targets in connection with domestic and international investigations of foreign exchange (FX) trading, resulting in no charges.\u003c/p\u003e","\u003cp\u003eRepresented leading pharmaceutical manufacturers into off-label promotion issues by the Department of Justice and multiple U.S. Attorneys\u0026rsquo; Offices, the FDA, the Department of Health and Human Services Office of Inspector General, and various state Attorneys General, as well as parallel federal False Claims Act\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;litigation.\u003c/p\u003e","\u003cp\u003eRepresented current and former CEOs, high-level executives, and other individuals in FCPA investigations related to events throughout Latin America, the Middle East, China, Mexico, and Eastern Europe.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":81,"guid":"81.capabilities","index":0,"source":"capabilities"},{"id":687,"guid":"687.smart_tags","index":1,"source":"smartTags"},{"id":2,"guid":"2.capabilities","index":2,"source":"capabilities"},{"id":103,"guid":"103.capabilities","index":3,"source":"capabilities"},{"id":21,"guid":"21.capabilities","index":4,"source":"capabilities"},{"id":102,"guid":"102.capabilities","index":5,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":6,"source":"capabilities"},{"id":780,"guid":"780.smart_tags","index":7,"source":"smartTags"},{"id":750,"guid":"750.smart_tags","index":8,"source":"smartTags"},{"id":20,"guid":"20.capabilities","index":9,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":10,"source":"smartTags"},{"id":5,"guid":"5.capabilities","index":11,"source":"capabilities"},{"id":11,"guid":"11.capabilities","index":12,"source":"capabilities"},{"id":6,"guid":"6.capabilities","index":13,"source":"capabilities"},{"id":7,"guid":"7.capabilities","index":14,"source":"capabilities"},{"id":1248,"guid":"1248.smart_tags","index":15,"source":"smartTags"}],"is_active":true,"last_name":"Sale","nick_name":"Daniel","clerkships":[{"name":"Law Clerk, Richard D. Bennett, U.S. District Court for the District of Maryland","years_held":"2010-2012"}],"first_name":"Daniel","title_rank":9999,"updated_by":202,"law_schools":[{"id":755,"meta":{"degree":"J.D.","honors":null,"is_law_school":1,"graduation_date":"2010-01-01 00:00:00 UTC"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":"C.","name_suffix":"","recognitions":null,"linked_in_url":"https://www.linkedin.com/in/daniel-sale-27063baa/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eDan Sale defends clients in high-stakes government and Congressional investigations, enforcement proceedings, and parallel civil litigation.\u0026nbsp; Concentrating in complex criminal and civil litigation, Dan regularly represents life sciences companies, financial institutions, other highly-regulated companies, and their boards and senior executives in high-profile and sensitive investigations and litigation.\u0026nbsp; Dan has special experience in matters involving: life sciences criminal and civil investigations; Congressional investigations;\u0026nbsp;the False Claims Act; financial crimes, the Foreign Corrupt Practices Act (FCPA);\u0026nbsp; antitrust and market manipulation matters; the securities laws; whistleblower cases; and transnational tax investigations.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eDan has special experience in cases involving allegations of off-label promotion and kickbacks in the life sciences industry and represented clients in the three largest Anti-Kickback Statute investigations ever resolved with DOJ.\u0026nbsp; Dan also has special experience in state attorney general investigations, and has personally negotiated quiet resolutions with all 50 state AG offices and the District of Columbia.\u0026nbsp; In addition, Dan has considerable experience defending clients in multi-jurisdictional investigations and litigation conducted cooperatively by United States, European, Middle Eastern, Asian and African authorities\u003c/p\u003e\n\u003cp\u003eThe Special Matters \u0026amp; Government Investigations group has been twice recognized by\u0026nbsp;\u003cem\u003eLaw 360\u003c/em\u003e\u0026nbsp;as the \u0026ldquo;White-Collar Group of the Year\u0026rdquo; and described as \u0026ldquo;the premier firm in this practice area\u0026rdquo; by the\u0026nbsp;\u003cem\u003eU.S. News \u0026amp; World Report/Best Lawyers\u0026rsquo;\u003c/em\u003e\u0026nbsp;\u0026ldquo;Best Law Firms\u0026rdquo; survey.\u003c/p\u003e\n\u003cp\u003eDan began his legal career as a law clerk to the Honorable Richard D. Bennett of the United States District Court for the District of Maryland. \u0026nbsp;He received his J.D. from Georgetown University Law Center, where he was an Editorial Board Member of the Tax Lawyer law journal, and his B.A. in economics from Yale University, where he was a Division I All New England Scholar Athlete lacrosse player.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eDan holds Top Secret/SCI security clearances until their expiration.\u003c/p\u003e\n\u003cp\u003e\u003cstrong\u003ePublications\u003c/strong\u003e\u003c/p\u003e\n\u003cul\u003e\n\u003cli\u003eDan is a regular contributor to the American Bar Association's Criminal Litigation Section's Practice Points publication\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eThe US v. Vascular Solutions Acquittal: Three Lessons for Targets of Off-Label Promotion Enforcement\u003c/em\u003e, Washington Legal Foundation Legal Backgrounder (2016)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eRecent Trends in Health Care Enforcement and Compliance\u003c/em\u003e, Inside the Minds: Health Care Law Enforcement and Compliance (Apastore 2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eThe Future of Off-Label Promotion Enforcement in the Wake of Caronia \u0026mdash; Toward a First Amendment Safe Harbor\u003c/em\u003e, The Sedona Conference Journal, Volume 14 (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eOff-Label Promotion: The Criminalization of Scientific Exchange\u003c/em\u003e, Pharma Magazine (UK) (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eFDA as Arbiter of Truth? The First Amendment, Caronia, and the Future of Off-Label Promotion Enforcement\u003c/em\u003e, ABA White Collar Crime (2013)\u003c/li\u003e\n\u003cli\u003e\u003cem\u003eTenure Trap: Third Circuit Joins Sixth in Holding Tenure Buy-out Payments Subject to FICA Taxation in University of Pittsburgh v. United States\u003c/em\u003e, The Tax Lawyer, Volume 63 (2010)\u003c/li\u003e\n\u003c/ul\u003e","matters":["\u003cp\u003eRepresenting\u0026nbsp;\u003cem\u003epro bono\u003c/em\u003e\u0026nbsp;a former Army Ranger convicted by court martial of murder in Iraq, resulting in a full Presidential pardon.\u003c/p\u003e","\u003cp\u003eRepresenting an individual in connection with the Special Counsel investigation conducted by Robert Mueller.\u003c/p\u003e","\u003cp\u003eRepresenting a global pharmaceutical company in an industry-wide investigation regarding donations to charitable patient assistance foundations.\u003c/p\u003e","\u003cp\u003eSecured a declination of all criminal and civil liability for a global medical device manufacturer in an investigation involving off-label promotion and fraud issues\u003c/p\u003e","\u003cp\u003eRepresented Vascular Solutions, Inc., a publicly traded medical device manufacturer that was indicted on federal criminal charges relating to off-label promotion and acquitted by a jury of all charges after a four week trial in February 2016.\u003c/p\u003e","\u003cp\u003eRepresenting several individual witnesses and targets in connection with domestic and international investigations of foreign exchange (FX) trading, resulting in no charges.\u003c/p\u003e","\u003cp\u003eRepresented leading pharmaceutical manufacturers into off-label promotion issues by the Department of Justice and multiple U.S. Attorneys\u0026rsquo; Offices, the FDA, the Department of Health and Human Services Office of Inspector General, and various state Attorneys General, as well as parallel federal False Claims Act\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;litigation.\u003c/p\u003e","\u003cp\u003eRepresented current and former CEOs, high-level executives, and other individuals in FCPA investigations related to events throughout Latin America, the Middle East, China, Mexico, and Eastern Europe.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":12360}]},"capability_group_id":2},"created_at":"2025-05-26T04:52:35.000Z","updated_at":"2025-05-26T04:52:35.000Z","searchable_text":"Sale{{ FIELD }}Representing pro bono a former Army Ranger convicted by court martial of murder in Iraq, resulting in a full Presidential pardon.{{ FIELD }}Representing an individual in connection with the Special Counsel investigation conducted by Robert Mueller.{{ FIELD }}Representing a global pharmaceutical company in an industry-wide investigation regarding donations to charitable patient assistance foundations.{{ FIELD }}Secured a declination of all criminal and civil liability for a global medical device manufacturer in an investigation involving off-label promotion and fraud issues{{ FIELD }}Represented Vascular Solutions, Inc., a publicly traded medical device manufacturer that was indicted on federal criminal charges relating to off-label promotion and acquitted by a jury of all charges after a four week trial in February 2016.{{ FIELD }}Representing several individual witnesses and targets in connection with domestic and international investigations of foreign exchange (FX) trading, resulting in no charges.{{ FIELD }}Represented leading pharmaceutical manufacturers into off-label promotion issues by the Department of Justice and multiple U.S. Attorneys’ Offices, the FDA, the Department of Health and Human Services Office of Inspector General, and various state Attorneys General, as well as parallel federal False Claims Act qui tam litigation.{{ FIELD }}Represented current and former CEOs, high-level executives, and other individuals in FCPA investigations related to events throughout Latin America, the Middle East, China, Mexico, and Eastern Europe.{{ FIELD }}Dan Sale defends clients in high-stakes government and Congressional investigations, enforcement proceedings, and parallel civil litigation.  Concentrating in complex criminal and civil litigation, Dan regularly represents life sciences companies, financial institutions, other highly-regulated companies, and their boards and senior executives in high-profile and sensitive investigations and litigation.  Dan has special experience in matters involving: life sciences criminal and civil investigations; Congressional investigations; the False Claims Act; financial crimes, the Foreign Corrupt Practices Act (FCPA);  antitrust and market manipulation matters; the securities laws; whistleblower cases; and transnational tax investigations. \nDan has special experience in cases involving allegations of off-label promotion and kickbacks in the life sciences industry and represented clients in the three largest Anti-Kickback Statute investigations ever resolved with DOJ.  Dan also has special experience in state attorney general investigations, and has personally negotiated quiet resolutions with all 50 state AG offices and the District of Columbia.  In addition, Dan has considerable experience defending clients in multi-jurisdictional investigations and litigation conducted cooperatively by United States, European, Middle Eastern, Asian and African authorities\nThe Special Matters \u0026amp; Government Investigations group has been twice recognized by Law 360 as the “White-Collar Group of the Year” and described as “the premier firm in this practice area” by the U.S. News \u0026amp; World Report/Best Lawyers’ “Best Law Firms” survey.\nDan began his legal career as a law clerk to the Honorable Richard D. Bennett of the United States District Court for the District of Maryland.  He received his J.D. from Georgetown University Law Center, where he was an Editorial Board Member of the Tax Lawyer law journal, and his B.A. in economics from Yale University, where he was a Division I All New England Scholar Athlete lacrosse player. \nDan holds Top Secret/SCI security clearances until their expiration.\nPublications\n\nDan is a regular contributor to the American Bar Association's Criminal Litigation Section's Practice Points publication\nThe US v. Vascular Solutions Acquittal: Three Lessons for Targets of Off-Label Promotion Enforcement, Washington Legal Foundation Legal Backgrounder (2016)\nRecent Trends in Health Care Enforcement and Compliance, Inside the Minds: Health Care Law Enforcement and Compliance (Apastore 2013)\nThe Future of Off-Label Promotion Enforcement in the Wake of Caronia — Toward a First Amendment Safe Harbor, The Sedona Conference Journal, Volume 14 (2013)\nOff-Label Promotion: The Criminalization of Scientific Exchange, Pharma Magazine (UK) (2013)\nFDA as Arbiter of Truth? The First Amendment, Caronia, and the Future of Off-Label Promotion Enforcement, ABA White Collar Crime (2013)\nTenure Trap: Third Circuit Joins Sixth in Holding Tenure Buy-out Payments Subject to FICA Taxation in University of Pittsburgh v. United States, The Tax Lawyer, Volume 63 (2010)\n Partner Yale University Yale Law School Georgetown University Georgetown University Law Center U.S. Court of Appeals for the Fourth Circuit U.S. District Court for the District of Maryland District of Columbia Maryland Law Clerk, Richard D. Bennett, U.S. District Court for the District of Maryland Representing pro bono a former Army Ranger convicted by court martial of murder in Iraq, resulting in a full Presidential pardon. Representing an individual in connection with the Special Counsel investigation conducted by Robert Mueller. Representing a global pharmaceutical company in an industry-wide investigation regarding donations to charitable patient assistance foundations. Secured a declination of all criminal and civil liability for a global medical device manufacturer in an investigation involving off-label promotion and fraud issues Represented Vascular Solutions, Inc., a publicly traded medical device manufacturer that was indicted on federal criminal charges relating to off-label promotion and acquitted by a jury of all charges after a four week trial in February 2016. Representing several individual witnesses and targets in connection with domestic and international investigations of foreign exchange (FX) trading, resulting in no charges. Represented leading pharmaceutical manufacturers into off-label promotion issues by the Department of Justice and multiple U.S. Attorneys’ Offices, the FDA, the Department of Health and Human Services Office of Inspector General, and various state Attorneys General, as well as parallel federal False Claims Act qui tam litigation. Represented current and former CEOs, high-level executives, and other individuals in FCPA investigations related to events throughout Latin America, the Middle East, China, Mexico, and Eastern Europe.","searchable_name":"Daniel C. Sale","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":444834,"version":1,"owner_type":"Person","owner_id":2559,"payload":{"bio":"\u003cp\u003eKyle Sheahen is a\u0026nbsp;Partner in the Special Matters and Investigations practice in King \u0026amp; Spalding\u0026rsquo;s New York office. Kyle\u0026rsquo;s practice focuses on white collar criminal defense litigation, federal and state government investigations, corporate internal investigations, and advice concerning corporate compliance programs.\u003c/p\u003e\n\u003cp\u003eKyle has represented corporations and individuals in a wide array of matters, including FCPA/anti-corruption, Bank Secrecy Act/anti-money laundering, securities, false claims, taxation, and cybersecurity. He has advised clients in sectors such as banking, insurance brokerage, foreign exchange, energy, life sciences, and professional services. Kyle has handled investigations involving a range of federal, state, and foreign authorities, including the Justice Department, the Securities and Exchange Commission, the U.S. Senate, the New York State Department of Financial Services, and the Swiss Financial Market Supervisory Authority. Kyle has also worked on the ground in jurisdictions in Europe, the Middle East, South America,\u0026nbsp;and Asia to serve his clients\u0026rsquo; needs.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eKyle is a commentator and speaker on various white collar and compliance topics, including data privacy and security, cross-border investigations and fraud in connection with the COVID-19 pandemic.\u003c/p\u003e\n\u003cp\u003eHe also serves on\u0026nbsp;\u003cem\u003eThe American Lawyer\u003c/em\u003e\u0026rsquo;s Young Lawyer Editorial Board and the board of directors of CUE Art Foundation in New York City.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eKyle earned his law degree from the University of California, Los Angeles, where he was a managing editor for the\u0026nbsp;\u003cem\u003eUCLA Journal of International Law and Foreign Affairs\u003c/em\u003e. Kyle also served as a law clerk for the U.S. Senate Committee on the Judiciary (Subcommittee on the Constitution) in Washington, D.C. He received his undergraduate degree in history from Cornell University.\u0026nbsp;\u003c/p\u003e","slug":"kyle-sheahen","email":"ksheahen@kslaw.com","phone":null,"matters":["\u003cp\u003eRepresenting a global financial services company in connection with the launch of a mobile FinTech application for the international remittance of funds.\u003c/p\u003e","\u003cp\u003eDefending a businessman in an approximately $25 million fraud prosecution in the Western District of New York.\u003c/p\u003e","\u003cp\u003eDefending an international financial institution from enforcement actions based on conspiracy to commit tax fraud and securities violations brought by the Justice Department, the SEC, the Federal Reserve, and the New York State Department of Financial Services, and a related congressional inquiry by the Senate Permanent Subcommittee on Investigations; representing same company in connection with post-resolution undertakings, including the New York State Department of Financial Services-appointed monitorship.\u003c/p\u003e","\u003cp\u003eDefending a major financial institution in a criminal investigation by a U.S. Attorney\u0026rsquo;s Office and DOJ\u0026rsquo;s Asset Forfeiture \u0026amp; Money Laundering Section, regarding anti-money laundering and other issues related to allegations of fraud by a customer.\u003c/p\u003e","\u003cp\u003ePerforming internal compliance reviews and anticorruption analysis for a global insurance broker.\u003c/p\u003e","\u003cp\u003eRepresenting the CEO of a Fortune 500 company in connection with an insurance investigation by the New York County District Attorney\u0026rsquo;s Office.\u003c/p\u003e","\u003cp\u003eAdvising an international oil and gas company on FCPA compliance issues related to overseas projects.\u003c/p\u003e","\u003cp\u003ePreparing a financial firm\u0026rsquo;s response to subpoenas served by the Justice Department Tax Division.\u003c/p\u003e","\u003cp\u003eCounseling a Fortune 500 financial services company on its incident response plan following a data security breach.\u003c/p\u003e","\u003cp\u003eRepresenting a professional sports team owner in connection with an investigation by the Securities and Exchange Commission.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":6,"guid":"6.capabilities","index":0,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":1,"source":"capabilities"},{"id":38,"guid":"38.capabilities","index":2,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":3,"source":"capabilities"},{"id":81,"guid":"81.capabilities","index":4,"source":"capabilities"},{"id":780,"guid":"780.smart_tags","index":5,"source":"smartTags"},{"id":11,"guid":"11.capabilities","index":6,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":7,"source":"smartTags"},{"id":973,"guid":"973.smart_tags","index":8,"source":"smartTags"},{"id":113,"guid":"113.capabilities","index":9,"source":"capabilities"},{"id":1153,"guid":"1153.smart_tags","index":10,"source":"smartTags"},{"id":1168,"guid":"1168.smart_tags","index":11,"source":"smartTags"},{"id":1188,"guid":"1188.smart_tags","index":12,"source":"smartTags"},{"id":1199,"guid":"1199.smart_tags","index":13,"source":"smartTags"},{"id":803,"guid":"803.smart_tags","index":14,"source":"smartTags"},{"id":132,"guid":"132.capabilities","index":15,"source":"capabilities"}],"is_active":true,"last_name":"Sheahen","nick_name":"Kyle","clerkships":[],"first_name":"Kyle","title_rank":9999,"updated_by":34,"law_schools":[],"middle_name":" ","name_suffix":"","recognitions":null,"linked_in_url":"https://www.linkedin.com/in/kyle-sheahen-7617b49/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eKyle Sheahen is a\u0026nbsp;Partner in the Special Matters and Investigations practice in King \u0026amp; Spalding\u0026rsquo;s New York office. Kyle\u0026rsquo;s practice focuses on white collar criminal defense litigation, federal and state government investigations, corporate internal investigations, and advice concerning corporate compliance programs.\u003c/p\u003e\n\u003cp\u003eKyle has represented corporations and individuals in a wide array of matters, including FCPA/anti-corruption, Bank Secrecy Act/anti-money laundering, securities, false claims, taxation, and cybersecurity. He has advised clients in sectors such as banking, insurance brokerage, foreign exchange, energy, life sciences, and professional services. Kyle has handled investigations involving a range of federal, state, and foreign authorities, including the Justice Department, the Securities and Exchange Commission, the U.S. Senate, the New York State Department of Financial Services, and the Swiss Financial Market Supervisory Authority. Kyle has also worked on the ground in jurisdictions in Europe, the Middle East, South America,\u0026nbsp;and Asia to serve his clients\u0026rsquo; needs.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eKyle is a commentator and speaker on various white collar and compliance topics, including data privacy and security, cross-border investigations and fraud in connection with the COVID-19 pandemic.\u003c/p\u003e\n\u003cp\u003eHe also serves on\u0026nbsp;\u003cem\u003eThe American Lawyer\u003c/em\u003e\u0026rsquo;s Young Lawyer Editorial Board and the board of directors of CUE Art Foundation in New York City.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eKyle earned his law degree from the University of California, Los Angeles, where he was a managing editor for the\u0026nbsp;\u003cem\u003eUCLA Journal of International Law and Foreign Affairs\u003c/em\u003e. Kyle also served as a law clerk for the U.S. Senate Committee on the Judiciary (Subcommittee on the Constitution) in Washington, D.C. He received his undergraduate degree in history from Cornell University.\u0026nbsp;\u003c/p\u003e","matters":["\u003cp\u003eRepresenting a global financial services company in connection with the launch of a mobile FinTech application for the international remittance of funds.\u003c/p\u003e","\u003cp\u003eDefending a businessman in an approximately $25 million fraud prosecution in the Western District of New York.\u003c/p\u003e","\u003cp\u003eDefending an international financial institution from enforcement actions based on conspiracy to commit tax fraud and securities violations brought by the Justice Department, the SEC, the Federal Reserve, and the New York State Department of Financial Services, and a related congressional inquiry by the Senate Permanent Subcommittee on Investigations; representing same company in connection with post-resolution undertakings, including the New York State Department of Financial Services-appointed monitorship.\u003c/p\u003e","\u003cp\u003eDefending a major financial institution in a criminal investigation by a U.S. Attorney\u0026rsquo;s Office and DOJ\u0026rsquo;s Asset Forfeiture \u0026amp; Money Laundering Section, regarding anti-money laundering and other issues related to allegations of fraud by a customer.\u003c/p\u003e","\u003cp\u003ePerforming internal compliance reviews and anticorruption analysis for a global insurance broker.\u003c/p\u003e","\u003cp\u003eRepresenting the CEO of a Fortune 500 company in connection with an insurance investigation by the New York County District Attorney\u0026rsquo;s Office.\u003c/p\u003e","\u003cp\u003eAdvising an international oil and gas company on FCPA compliance issues related to overseas projects.\u003c/p\u003e","\u003cp\u003ePreparing a financial firm\u0026rsquo;s response to subpoenas served by the Justice Department Tax Division.\u003c/p\u003e","\u003cp\u003eCounseling a Fortune 500 financial services company on its incident response plan following a data security breach.\u003c/p\u003e","\u003cp\u003eRepresenting a professional sports team owner in connection with an investigation by the Securities and Exchange Commission.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":93}]},"capability_group_id":2},"created_at":"2026-01-07T04:51:15.000Z","updated_at":"2026-01-07T04:51:15.000Z","searchable_text":"Sheahen{{ FIELD }}Representing a global financial services company in connection with the launch of a mobile FinTech application for the international remittance of funds.{{ FIELD }}Defending a businessman in an approximately $25 million fraud prosecution in the Western District of New York.{{ FIELD }}Defending an international financial institution from enforcement actions based on conspiracy to commit tax fraud and securities violations brought by the Justice Department, the SEC, the Federal Reserve, and the New York State Department of Financial Services, and a related congressional inquiry by the Senate Permanent Subcommittee on Investigations; representing same company in connection with post-resolution undertakings, including the New York State Department of Financial Services-appointed monitorship.{{ FIELD }}Defending a major financial institution in a criminal investigation by a U.S. Attorney’s Office and DOJ’s Asset Forfeiture \u0026amp; Money Laundering Section, regarding anti-money laundering and other issues related to allegations of fraud by a customer.{{ FIELD }}Performing internal compliance reviews and anticorruption analysis for a global insurance broker.{{ FIELD }}Representing the CEO of a Fortune 500 company in connection with an insurance investigation by the New York County District Attorney’s Office.{{ FIELD }}Advising an international oil and gas company on FCPA compliance issues related to overseas projects.{{ FIELD }}Preparing a financial firm’s response to subpoenas served by the Justice Department Tax Division.{{ FIELD }}Counseling a Fortune 500 financial services company on its incident response plan following a data security breach.{{ FIELD }}Representing a professional sports team owner in connection with an investigation by the Securities and Exchange Commission.{{ FIELD }}Kyle Sheahen is a Partner in the Special Matters and Investigations practice in King \u0026amp; Spalding’s New York office. Kyle’s practice focuses on white collar criminal defense litigation, federal and state government investigations, corporate internal investigations, and advice concerning corporate compliance programs.\nKyle has represented corporations and individuals in a wide array of matters, including FCPA/anti-corruption, Bank Secrecy Act/anti-money laundering, securities, false claims, taxation, and cybersecurity. He has advised clients in sectors such as banking, insurance brokerage, foreign exchange, energy, life sciences, and professional services. Kyle has handled investigations involving a range of federal, state, and foreign authorities, including the Justice Department, the Securities and Exchange Commission, the U.S. Senate, the New York State Department of Financial Services, and the Swiss Financial Market Supervisory Authority. Kyle has also worked on the ground in jurisdictions in Europe, the Middle East, South America, and Asia to serve his clients’ needs.\nKyle is a commentator and speaker on various white collar and compliance topics, including data privacy and security, cross-border investigations and fraud in connection with the COVID-19 pandemic.\nHe also serves on The American Lawyer’s Young Lawyer Editorial Board and the board of directors of CUE Art Foundation in New York City. \nKyle earned his law degree from the University of California, Los Angeles, where he was a managing editor for the UCLA Journal of International Law and Foreign Affairs. Kyle also served as a law clerk for the U.S. Senate Committee on the Judiciary (Subcommittee on the Constitution) in Washington, D.C. He received his undergraduate degree in history from Cornell University.  Partner Cornell University Cornell Law School University of California-Los Angeles UCLA School of Law U.S. District Court for the Eastern District of New York U.S. District Court for the Northern District of New York U.S. District Court for the Southern District of New York U.S. District Court for the Western District of New York New York Representing a global financial services company in connection with the launch of a mobile FinTech application for the international remittance of funds. Defending a businessman in an approximately $25 million fraud prosecution in the Western District of New York. Defending an international financial institution from enforcement actions based on conspiracy to commit tax fraud and securities violations brought by the Justice Department, the SEC, the Federal Reserve, and the New York State Department of Financial Services, and a related congressional inquiry by the Senate Permanent Subcommittee on Investigations; representing same company in connection with post-resolution undertakings, including the New York State Department of Financial Services-appointed monitorship. Defending a major financial institution in a criminal investigation by a U.S. Attorney’s Office and DOJ’s Asset Forfeiture \u0026amp; Money Laundering Section, regarding anti-money laundering and other issues related to allegations of fraud by a customer. Performing internal compliance reviews and anticorruption analysis for a global insurance broker. Representing the CEO of a Fortune 500 company in connection with an insurance investigation by the New York County District Attorney’s Office. Advising an international oil and gas company on FCPA compliance issues related to overseas projects. Preparing a financial firm’s response to subpoenas served by the Justice Department Tax Division. Counseling a Fortune 500 financial services company on its incident response plan following a data security breach. Representing a professional sports team owner in connection with an investigation by the Securities and Exchange Commission.","searchable_name":"Kyle Sheahen","is_active":true,"featured":null,"publish_date":null,"expiration_date":null,"blog_featured":null,"published_by":34,"capability_group_featured":null,"home_page_featured":null},{"id":443994,"version":1,"owner_type":"Person","owner_id":6954,"payload":{"bio":"\u003cp\u003eBen is a versatile litigator and former Silicon Valley in-house counsel focused on complex litigation, appellate and critical-issue advocacy, and regulatory investigations. Ben joins King \u0026amp; Spalding from Google, where he helped design and execute the company\u0026rsquo;s AI regulatory strategy. He has extensive experience helping clients inside and outside the technology sector navigate issues of administrative law, antitrust, consumer protection, privacy, and securities. Ben draws on his in-house experience to drive comprehensive client solutions that address legal, business, and reputational risk.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eBen was one of Google\u0026rsquo;s first AI regulatory lawyers. There, he led cross-functional teams responding to AI inquiries from regulators around the world, and, working closely with senior executives and business leaders, he helped develop and manage the company\u0026rsquo;s overarching AI regulatory strategy. Beyond AI, Ben directed defense strategy on litigation and regulatory matters arising under Section 5 of the FTC Act 5, state unfair and deceptive acts statutes, the federal securities laws, and global privacy laws. He also managed strategic regulatory compliance enhancements, working closely with business units like marketing, human resources, and finance to deliver compliance readiness on-time and on-budget.\u003c/p\u003e\n\u003cp\u003eBefore Google, Ben was a partner at a litigation boutique in Washington, D.C. There, in addition to trial court work, Ben argued numerous times in the federal courts of appeals, and was regularly tapped to draft appellate briefs, case-dispositive motions, and federal agency comments. He authored or co-authored winning briefs in the Supreme Court of the United States and in trial and appellate courts across the country.\u003c/p\u003e\n\u003cp\u003eBen served as a law clerk for the Honorable A. Raymond Randolph of the United States Court of Appeals for the D.C. Circuit. He has been named \u0026ldquo;Litigator of the Week\u0026rdquo; by \u003cem\u003eGlobal Competition Review\u003c/em\u003e and \u0026ldquo;Legal Lion\u0026rdquo; by \u003cem\u003eLaw360 \u003c/em\u003efor his work.\u003c/p\u003e","slug":"benjamin-softness","email":"bsoftness@kslaw.com","phone":null,"matters":["\u003cp\u003eRepresented a large technology client in federal and state consumer products investigations arising under Section 5 of the FTC Act and state consumer protection laws\u003c/p\u003e","\u003cp\u003eRepresented a large technology client in shareholder class action under federal securities laws\u003c/p\u003e","\u003cp\u003eRepresented AT\u0026amp;T in a Section 5 consumer-protection case through district court litigation and appeals\u003c/p\u003e","\u003cp\u003eDefended AT\u0026amp;T\u0026rsquo;s merger with Time Warner against DOJ antitrust challenge pre-trial, at trial, and on appeal, \u003cem\u003eUnited States v. AT\u0026amp;T\u003c/em\u003e, 916 F.3d 1029 (D.C. Cir. 2019), \u003cem\u003eaff\u0026rsquo;g \u003c/em\u003e310 F. Supp. 3d 161 (D.D.C. 2018).\u003c/p\u003e","\u003cp\u003eAssisted Fortune 50 client with third-party subpoena defense and anticipated appellate work in a copyright case\u003c/p\u003e","\u003cp\u003eFounding member of the litigation team representing Petersen Energia Inversora, S.A.U., Petersen Energia, S.A.U., and Eton Park Capital Management in litigation in the Southern District of New York against the Argentine Republic and YPF, S.A., alleging claims for breach of contract and promissory estoppel arising from defendants\u0026rsquo; failure to comply with their tender offer requirements in connection with Argentina's expropriation of YPF plaintiffs against Republic of Argentina in \u003cem\u003ePetersen Energ\u0026iacute;a Inversora S.A.U. v. Argentine Republic\u003c/em\u003e.\u003c/p\u003e","\u003cp\u003eCo-authored respondent\u0026rsquo;s winning merits brief in a major antitrust case, \u003cem\u003eApple v. Pepper\u003c/em\u003e, 139 S. Ct. 1514 (2019), and was named a \u003cem\u003eGlobal Competition Review\u003c/em\u003e \u0026ldquo;Litigator of the Week\u0026rdquo; for the win.\u003c/p\u003e","\u003cp\u003eCo-authored winning brief in \u003cem\u003eStuart v. Global Tel*Link Corp\u003c/em\u003e., 956 F.3d 555 (8th Cir. 2020), affirming summary judgment on consumer protection issues and class decertification (named \u003cem\u003eLaw360\u003c/em\u003e \u0026ldquo;Legal Lion\u0026rdquo; for victory).\u003c/p\u003e","\u003cp\u003eCo-authored petitioners\u0026rsquo; winning briefs challenging agency rulemaking in \u003cem\u003eGlobal Tel*Link v. FCC,\u003c/em\u003e 866 F.3d 397 (D.C. Cir. 2017).\u003c/p\u003e","\u003cp\u003eBriefed and argued \u003cem\u003eSanders v. United States\u003c/em\u003e, 937 F.3d 316 (4th Cir. 2019), representing \u003cem\u003epro bono\u003c/em\u003e client the Brady Center to Prevent Gun Violence as \u003cem\u003eamicus curiae\u003c/em\u003e. The Fourth Circuit, citing Brady\u0026rsquo;s brief, reinstated dismissed claims brought by victims of the 2015 shooting at Mother Emanuel Church in Charleston, S.C.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":74,"guid":"74.capabilities","index":0,"source":"capabilities"},{"id":2,"guid":"2.capabilities","index":1,"source":"capabilities"},{"id":129,"guid":"129.capabilities","index":2,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":3,"source":"capabilities"},{"id":19,"guid":"19.capabilities","index":4,"source":"capabilities"},{"id":6,"guid":"6.capabilities","index":5,"source":"capabilities"},{"id":111,"guid":"111.capabilities","index":6,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":7,"source":"capabilities"},{"id":133,"guid":"133.capabilities","index":8,"source":"capabilities"},{"id":118,"guid":"118.capabilities","index":9,"source":"capabilities"},{"id":764,"guid":"764.smart_tags","index":10,"source":"smartTags"},{"id":750,"guid":"750.smart_tags","index":11,"source":"smartTags"},{"id":1,"guid":"1.capabilities","index":12,"source":"capabilities"}],"is_active":true,"last_name":"Softness","nick_name":"Benjamin","clerkships":[{"name":"Law Clerk, Hon. A Raymond Randolph, U.S. Court of Appeals for the D.C. Circuit","years_held":"2013 - 2014"},{"name":"Intern, Hon. Richard J. Leon, U.S. District Court for the District of Columbia","years_held":"2011 - 2011"}],"first_name":"Benjamin","title_rank":9999,"updated_by":202,"law_schools":[{"id":2282,"meta":{"degree":"J.D.","honors":"summa cum laude","is_law_school":"1","graduation_date":"2013-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":"","name_suffix":"","recognitions":[{"title":"Litigator of the Week","detail":"Global Competition Review, 2019"},{"title":"Legal Lion","detail":"Law360, 2020"}],"linked_in_url":"https://www.linkedin.com/in/benjamin-softness-7b16322/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eBen is a versatile litigator and former Silicon Valley in-house counsel focused on complex litigation, appellate and critical-issue advocacy, and regulatory investigations. Ben joins King \u0026amp; Spalding from Google, where he helped design and execute the company\u0026rsquo;s AI regulatory strategy. He has extensive experience helping clients inside and outside the technology sector navigate issues of administrative law, antitrust, consumer protection, privacy, and securities. Ben draws on his in-house experience to drive comprehensive client solutions that address legal, business, and reputational risk.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eBen was one of Google\u0026rsquo;s first AI regulatory lawyers. There, he led cross-functional teams responding to AI inquiries from regulators around the world, and, working closely with senior executives and business leaders, he helped develop and manage the company\u0026rsquo;s overarching AI regulatory strategy. Beyond AI, Ben directed defense strategy on litigation and regulatory matters arising under Section 5 of the FTC Act 5, state unfair and deceptive acts statutes, the federal securities laws, and global privacy laws. He also managed strategic regulatory compliance enhancements, working closely with business units like marketing, human resources, and finance to deliver compliance readiness on-time and on-budget.\u003c/p\u003e\n\u003cp\u003eBefore Google, Ben was a partner at a litigation boutique in Washington, D.C. There, in addition to trial court work, Ben argued numerous times in the federal courts of appeals, and was regularly tapped to draft appellate briefs, case-dispositive motions, and federal agency comments. He authored or co-authored winning briefs in the Supreme Court of the United States and in trial and appellate courts across the country.\u003c/p\u003e\n\u003cp\u003eBen served as a law clerk for the Honorable A. Raymond Randolph of the United States Court of Appeals for the D.C. Circuit. He has been named \u0026ldquo;Litigator of the Week\u0026rdquo; by \u003cem\u003eGlobal Competition Review\u003c/em\u003e and \u0026ldquo;Legal Lion\u0026rdquo; by \u003cem\u003eLaw360 \u003c/em\u003efor his work.\u003c/p\u003e","matters":["\u003cp\u003eRepresented a large technology client in federal and state consumer products investigations arising under Section 5 of the FTC Act and state consumer protection laws\u003c/p\u003e","\u003cp\u003eRepresented a large technology client in shareholder class action under federal securities laws\u003c/p\u003e","\u003cp\u003eRepresented AT\u0026amp;T in a Section 5 consumer-protection case through district court litigation and appeals\u003c/p\u003e","\u003cp\u003eDefended AT\u0026amp;T\u0026rsquo;s merger with Time Warner against DOJ antitrust challenge pre-trial, at trial, and on appeal, \u003cem\u003eUnited States v. AT\u0026amp;T\u003c/em\u003e, 916 F.3d 1029 (D.C. Cir. 2019), \u003cem\u003eaff\u0026rsquo;g \u003c/em\u003e310 F. Supp. 3d 161 (D.D.C. 2018).\u003c/p\u003e","\u003cp\u003eAssisted Fortune 50 client with third-party subpoena defense and anticipated appellate work in a copyright case\u003c/p\u003e","\u003cp\u003eFounding member of the litigation team representing Petersen Energia Inversora, S.A.U., Petersen Energia, S.A.U., and Eton Park Capital Management in litigation in the Southern District of New York against the Argentine Republic and YPF, S.A., alleging claims for breach of contract and promissory estoppel arising from defendants\u0026rsquo; failure to comply with their tender offer requirements in connection with Argentina's expropriation of YPF plaintiffs against Republic of Argentina in \u003cem\u003ePetersen Energ\u0026iacute;a Inversora S.A.U. v. Argentine Republic\u003c/em\u003e.\u003c/p\u003e","\u003cp\u003eCo-authored respondent\u0026rsquo;s winning merits brief in a major antitrust case, \u003cem\u003eApple v. Pepper\u003c/em\u003e, 139 S. Ct. 1514 (2019), and was named a \u003cem\u003eGlobal Competition Review\u003c/em\u003e \u0026ldquo;Litigator of the Week\u0026rdquo; for the win.\u003c/p\u003e","\u003cp\u003eCo-authored winning brief in \u003cem\u003eStuart v. Global Tel*Link Corp\u003c/em\u003e., 956 F.3d 555 (8th Cir. 2020), affirming summary judgment on consumer protection issues and class decertification (named \u003cem\u003eLaw360\u003c/em\u003e \u0026ldquo;Legal Lion\u0026rdquo; for victory).\u003c/p\u003e","\u003cp\u003eCo-authored petitioners\u0026rsquo; winning briefs challenging agency rulemaking in \u003cem\u003eGlobal Tel*Link v. FCC,\u003c/em\u003e 866 F.3d 397 (D.C. Cir. 2017).\u003c/p\u003e","\u003cp\u003eBriefed and argued \u003cem\u003eSanders v. United States\u003c/em\u003e, 937 F.3d 316 (4th Cir. 2019), representing \u003cem\u003epro bono\u003c/em\u003e client the Brady Center to Prevent Gun Violence as \u003cem\u003eamicus curiae\u003c/em\u003e. The Fourth Circuit, citing Brady\u0026rsquo;s brief, reinstated dismissed claims brought by victims of the 2015 shooting at Mother Emanuel Church in Charleston, S.C.\u003c/p\u003e"],"recognitions":[{"title":"Litigator of the Week","detail":"Global Competition Review, 2019"},{"title":"Legal Lion","detail":"Law360, 2020"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":12616}]},"capability_group_id":3},"created_at":"2025-12-05T05:02:27.000Z","updated_at":"2025-12-05T05:02:27.000Z","searchable_text":"Softness{{ FIELD }}{:title=\u0026gt;\"Litigator of the Week\", :detail=\u0026gt;\"Global Competition Review, 2019\"}{{ FIELD }}{:title=\u0026gt;\"Legal Lion\", :detail=\u0026gt;\"Law360, 2020\"}{{ FIELD }}Represented a large technology client in federal and state consumer products investigations arising under Section 5 of the FTC Act and state consumer protection laws{{ FIELD }}Represented a large technology client in shareholder class action under federal securities laws{{ FIELD }}Represented AT\u0026amp;T in a Section 5 consumer-protection case through district court litigation and appeals{{ FIELD }}Defended AT\u0026amp;T’s merger with Time Warner against DOJ antitrust challenge pre-trial, at trial, and on appeal, United States v. AT\u0026amp;T, 916 F.3d 1029 (D.C. Cir. 2019), aff’g 310 F. Supp. 3d 161 (D.D.C. 2018).{{ FIELD }}Assisted Fortune 50 client with third-party subpoena defense and anticipated appellate work in a copyright case{{ FIELD }}Founding member of the litigation team representing Petersen Energia Inversora, S.A.U., Petersen Energia, S.A.U., and Eton Park Capital Management in litigation in the Southern District of New York against the Argentine Republic and YPF, S.A., alleging claims for breach of contract and promissory estoppel arising from defendants’ failure to comply with their tender offer requirements in connection with Argentina's expropriation of YPF plaintiffs against Republic of Argentina in Petersen Energía Inversora S.A.U. v. Argentine Republic.{{ FIELD }}Co-authored respondent’s winning merits brief in a major antitrust case, Apple v. Pepper, 139 S. Ct. 1514 (2019), and was named a Global Competition Review “Litigator of the Week” for the win.{{ FIELD }}Co-authored winning brief in Stuart v. Global Tel*Link Corp., 956 F.3d 555 (8th Cir. 2020), affirming summary judgment on consumer protection issues and class decertification (named Law360 “Legal Lion” for victory).{{ FIELD }}Co-authored petitioners’ winning briefs challenging agency rulemaking in Global Tel*Link v. FCC, 866 F.3d 397 (D.C. Cir. 2017).{{ FIELD }}Briefed and argued Sanders v. United States, 937 F.3d 316 (4th Cir. 2019), representing pro bono client the Brady Center to Prevent Gun Violence as amicus curiae. The Fourth Circuit, citing Brady’s brief, reinstated dismissed claims brought by victims of the 2015 shooting at Mother Emanuel Church in Charleston, S.C.{{ FIELD }}Ben is a versatile litigator and former Silicon Valley in-house counsel focused on complex litigation, appellate and critical-issue advocacy, and regulatory investigations. Ben joins King \u0026amp; Spalding from Google, where he helped design and execute the company’s AI regulatory strategy. He has extensive experience helping clients inside and outside the technology sector navigate issues of administrative law, antitrust, consumer protection, privacy, and securities. Ben draws on his in-house experience to drive comprehensive client solutions that address legal, business, and reputational risk.\nBen was one of Google’s first AI regulatory lawyers. There, he led cross-functional teams responding to AI inquiries from regulators around the world, and, working closely with senior executives and business leaders, he helped develop and manage the company’s overarching AI regulatory strategy. Beyond AI, Ben directed defense strategy on litigation and regulatory matters arising under Section 5 of the FTC Act 5, state unfair and deceptive acts statutes, the federal securities laws, and global privacy laws. He also managed strategic regulatory compliance enhancements, working closely with business units like marketing, human resources, and finance to deliver compliance readiness on-time and on-budget.\nBefore Google, Ben was a partner at a litigation boutique in Washington, D.C. There, in addition to trial court work, Ben argued numerous times in the federal courts of appeals, and was regularly tapped to draft appellate briefs, case-dispositive motions, and federal agency comments. He authored or co-authored winning briefs in the Supreme Court of the United States and in trial and appellate courts across the country.\nBen served as a law clerk for the Honorable A. Raymond Randolph of the United States Court of Appeals for the D.C. Circuit. He has been named “Litigator of the Week” by Global Competition Review and “Legal Lion” by Law360 for his work. Partner Litigator of the Week Global Competition Review, 2019 Legal Lion Law360, 2020 Amherst College  University of Pennsylvania University of Pennsylvania Law School U.S. Court of Appeals for the Federal Circuit Supreme Court of the United States U.S. Court of Appeals for the Fourth Circuit U.S. Court of Appeals for the D.C. Circuit U.S. District Court for the District of Columbia California District of Columbia New York Bar Association of San Francisco Law Clerk, Hon. A Raymond Randolph, U.S. Court of Appeals for the D.C. Circuit Intern, Hon. Richard J. Leon, U.S. District Court for the District of Columbia Represented a large technology client in federal and state consumer products investigations arising under Section 5 of the FTC Act and state consumer protection laws Represented a large technology client in shareholder class action under federal securities laws Represented AT\u0026amp;T in a Section 5 consumer-protection case through district court litigation and appeals Defended AT\u0026amp;T’s merger with Time Warner against DOJ antitrust challenge pre-trial, at trial, and on appeal, United States v. AT\u0026amp;T, 916 F.3d 1029 (D.C. Cir. 2019), aff’g 310 F. Supp. 3d 161 (D.D.C. 2018). Assisted Fortune 50 client with third-party subpoena defense and anticipated appellate work in a copyright case Founding member of the litigation team representing Petersen Energia Inversora, S.A.U., Petersen Energia, S.A.U., and Eton Park Capital Management in litigation in the Southern District of New York against the Argentine Republic and YPF, S.A., alleging claims for breach of contract and promissory estoppel arising from defendants’ failure to comply with their tender offer requirements in connection with Argentina's expropriation of YPF plaintiffs against Republic of Argentina in Petersen Energía Inversora S.A.U. v. Argentine Republic. Co-authored respondent’s winning merits brief in a major antitrust case, Apple v. Pepper, 139 S. Ct. 1514 (2019), and was named a Global Competition Review “Litigator of the Week” for the win. Co-authored winning brief in Stuart v. Global Tel*Link Corp., 956 F.3d 555 (8th Cir. 2020), affirming summary judgment on consumer protection issues and class decertification (named Law360 “Legal Lion” for victory). Co-authored petitioners’ winning briefs challenging agency rulemaking in Global Tel*Link v. FCC, 866 F.3d 397 (D.C. Cir. 2017). Briefed and argued Sanders v. United States, 937 F.3d 316 (4th Cir. 2019), representing pro bono client the Brady Center to Prevent Gun Violence as amicus curiae. The Fourth Circuit, citing Brady’s brief, reinstated dismissed claims brought by victims of the 2015 shooting at Mother Emanuel Church in Charleston, S.C.","searchable_name":"Benjamin Softness","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":446142,"version":1,"owner_type":"Person","owner_id":5123,"payload":{"bio":"\u003cp\u003eAaron Stephens is an English and US qualified (California - inactive) partner in the Special Matters and Government Investigations practice, twice named by Law360 as \u0026ldquo;White Collar Practice Group of the Year.\u0026rdquo; He specializes in representing financial institutions, corporate clients and senior individuals in highly sensitive litigation and investigations.\u003c/p\u003e\n\u003cp\u003eAaron has advised clients on diverse matters across Europe, North America, Asia, the Middle East and Africa in the banking/financial services, energy, defence, construction \u0026amp; engineering and retail industries. He has a particular focus on anti-corruption, anti-money laundering, market abuse and fraud, and with commentators saying that \"Aaron Stephens is hugely likeable, very focused and always available\" (Legal 500 2024), that \"he has a strong financial services practice and brings infectious enthusiasm to every case\" (Legal 500 2024), that\u0026nbsp;\"he understands complex matters and finds practical solutions ... he is brilliant, a responsive and reassuring person to have on your side\" (Chambers UK 2020), and that he is \"very easy to communicate with and finds solutions to complex problems\" (Chambers UK 2022).\u0026nbsp;\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAaron has carried out regulatory and white collar investigations and/or defended clients in relation to the UK\u0026rsquo;s Financial Conduct Authority (FCA), Serious Fraud Office (SFO), National Crime Agency (NCA), Takeover Panel and Lloyd\u0026rsquo;s of London, as well as in matters involving the U.S. Department of Justice (DOJ), Federal Bureau of Investigation (FBI), Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC).\u0026nbsp; He also engages in civil litigation in the English courts, and advises a wide range of corporate clients on risk management and compliance issues.\u003c/p\u003e\n\u003cp\u003eAaron is a Top Ranked Lawyer\u0026nbsp;in Chambers UK 2022\u0026nbsp;in Financial Crime: Corporates and recognized in Legal 500 2021\u0026nbsp;for his work on corporate and financial services investigations (\"the epitome of a trusted adviser\").\u0026nbsp; Chambers UK notes that sources observe that \"he is an incredible professional,\" adding that \"he's a very steady hand and very comforting to clients; he's unflappable.\"\u0026nbsp; In addition, Global Investigations Review has described him as an \u0026ldquo;excellent lawyer who is credited by sources for his work developing [his] practice into a formidable offering.\u0026rdquo;\u003c/p\u003e\n\u003cp\u003ePrior to joining King \u0026amp; Spalding, Aaron was the Head of Corporate Crime and Investigations at the London headquarters of an international law firm.\u003c/p\u003e","slug":"aaron-stephens","email":"astephens@kslaw.com","phone":"","matters":["\u003cp\u003ePart of cross-office team advising a global financial institution in U.S. federal antitrust and English High Court litigation alleging that foreign currency dealers conspired to manipulate the benchmark WM/Reuters currency exchange rate and FX spreads.\u003c/p\u003e","\u003cp\u003eAdvising a global business in the context of an ongoing investigation by the World Bank.\u003c/p\u003e","\u003cp\u003eRepresenting a global financial institution in connection with English litigation seeking damages and tracing remedies arising from the 1 Malaysia Development Berhad (1MDB) scandal.\u003c/p\u003e","\u003cp\u003eAdvising various senior individuals in the context of on-going Serious Fraud Office (SFO), Financial Conduct Authority (FCA) and cross-border (DOJ, SEC) investigations into alleged bribery \u0026amp; corruption, market manipulation and \"spoofing\", and other financial crime.\u003c/p\u003e","\u003cp\u003eCarrying out an internal investigation for a global commodities house into allegations of fraud and corruption in an African jurisdiction.\u003c/p\u003e","\u003cp\u003eAdvising an energy sector client in relation to an internal investigation into fraudulent and misleading practices affecting an Asian project, including with regard to self reporting obligations and remediation.\u003c/p\u003e","\u003cp\u003eConducting an urgent internal investigation for a global asset management firm and advising on remedial steps and notification issues.\u003c/p\u003e","\u003cp\u003eAssisting a major, global corporation to design and implement a new compliance department, including the drafting of all compliance policies and procedures and related staff training.\u003c/p\u003e","\u003cp\u003eSuccessfully defended various individuals in the context of the US and UK investigations into manipulation of the London Interbank Offered Rate (LIBOR) and the foreign exchange (FX) market.\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003eMS Amlin\u003c/strong\u003e\u0026nbsp;in the context of an investigation by Lloyd\u0026rsquo;s of London, achieving a successful outcome.\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eSir Paul Judge\u003c/strong\u003e\u0026nbsp;in the context of both the on-going SFO investigation into Eurasian Natural Resources Corporation, and related civil litigation in the High Court of England \u0026amp; Wales.\u003c/p\u003e","\u003cp\u003eAdvising numerous corporates and financial services firms regarding compliance with the FCPA, Bribery Act 2010, anti-money laundering legislation and related financial crime compliance issues, including carrying out internal investigations in this regard.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":20,"guid":"20.capabilities","index":0,"source":"capabilities"},{"id":14,"guid":"14.capabilities","index":1,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":2,"source":"capabilities"},{"id":81,"guid":"81.capabilities","index":3,"source":"capabilities"},{"id":699,"guid":"699.smart_tags","index":4,"source":"smartTags"},{"id":766,"guid":"766.smart_tags","index":5,"source":"smartTags"},{"id":780,"guid":"780.smart_tags","index":6,"source":"smartTags"},{"id":765,"guid":"765.smart_tags","index":7,"source":"smartTags"},{"id":11,"guid":"11.capabilities","index":8,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":9,"source":"smartTags"},{"id":1188,"guid":"1188.smart_tags","index":10,"source":"smartTags"},{"id":1197,"guid":"1197.smart_tags","index":11,"source":"smartTags"},{"id":1199,"guid":"1199.smart_tags","index":12,"source":"smartTags"},{"id":128,"guid":"128.capabilities","index":13,"source":"capabilities"},{"id":803,"guid":"803.smart_tags","index":14,"source":"smartTags"},{"id":1327,"guid":"1327.smart_tags","index":15,"source":"smartTags"},{"id":25,"guid":"25.capabilities","index":16,"source":"capabilities"},{"id":1248,"guid":"1248.smart_tags","index":17,"source":"smartTags"}],"is_active":true,"last_name":"Stephens","nick_name":"Aaron","clerkships":[],"first_name":"Aaron","title_rank":9999,"updated_by":202,"law_schools":[{"id":345,"meta":{"degree":"J.D.","honors":"","is_law_school":"1","graduation_date":"1998-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":[{"title":"Ranked in Financial Crime: Corporates ","detail":"Chambers UK, 2017-2024"},{"title":"Recognized for his work on corporate and financial services investigations","detail":"Legal 500 2018-2024"},{"title":"Recognized by Global Investigations Review","detail":"GIR"}],"linked_in_url":"https://www.linkedin.com/in/stephensaaron/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eAaron Stephens is an English and US qualified (California - inactive) partner in the Special Matters and Government Investigations practice, twice named by Law360 as \u0026ldquo;White Collar Practice Group of the Year.\u0026rdquo; He specializes in representing financial institutions, corporate clients and senior individuals in highly sensitive litigation and investigations.\u003c/p\u003e\n\u003cp\u003eAaron has advised clients on diverse matters across Europe, North America, Asia, the Middle East and Africa in the banking/financial services, energy, defence, construction \u0026amp; engineering and retail industries. He has a particular focus on anti-corruption, anti-money laundering, market abuse and fraud, and with commentators saying that \"Aaron Stephens is hugely likeable, very focused and always available\" (Legal 500 2024), that \"he has a strong financial services practice and brings infectious enthusiasm to every case\" (Legal 500 2024), that\u0026nbsp;\"he understands complex matters and finds practical solutions ... he is brilliant, a responsive and reassuring person to have on your side\" (Chambers UK 2020), and that he is \"very easy to communicate with and finds solutions to complex problems\" (Chambers UK 2022).\u0026nbsp;\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAaron has carried out regulatory and white collar investigations and/or defended clients in relation to the UK\u0026rsquo;s Financial Conduct Authority (FCA), Serious Fraud Office (SFO), National Crime Agency (NCA), Takeover Panel and Lloyd\u0026rsquo;s of London, as well as in matters involving the U.S. Department of Justice (DOJ), Federal Bureau of Investigation (FBI), Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC).\u0026nbsp; He also engages in civil litigation in the English courts, and advises a wide range of corporate clients on risk management and compliance issues.\u003c/p\u003e\n\u003cp\u003eAaron is a Top Ranked Lawyer\u0026nbsp;in Chambers UK 2022\u0026nbsp;in Financial Crime: Corporates and recognized in Legal 500 2021\u0026nbsp;for his work on corporate and financial services investigations (\"the epitome of a trusted adviser\").\u0026nbsp; Chambers UK notes that sources observe that \"he is an incredible professional,\" adding that \"he's a very steady hand and very comforting to clients; he's unflappable.\"\u0026nbsp; In addition, Global Investigations Review has described him as an \u0026ldquo;excellent lawyer who is credited by sources for his work developing [his] practice into a formidable offering.\u0026rdquo;\u003c/p\u003e\n\u003cp\u003ePrior to joining King \u0026amp; Spalding, Aaron was the Head of Corporate Crime and Investigations at the London headquarters of an international law firm.\u003c/p\u003e","matters":["\u003cp\u003ePart of cross-office team advising a global financial institution in U.S. federal antitrust and English High Court litigation alleging that foreign currency dealers conspired to manipulate the benchmark WM/Reuters currency exchange rate and FX spreads.\u003c/p\u003e","\u003cp\u003eAdvising a global business in the context of an ongoing investigation by the World Bank.\u003c/p\u003e","\u003cp\u003eRepresenting a global financial institution in connection with English litigation seeking damages and tracing remedies arising from the 1 Malaysia Development Berhad (1MDB) scandal.\u003c/p\u003e","\u003cp\u003eAdvising various senior individuals in the context of on-going Serious Fraud Office (SFO), Financial Conduct Authority (FCA) and cross-border (DOJ, SEC) investigations into alleged bribery \u0026amp; corruption, market manipulation and \"spoofing\", and other financial crime.\u003c/p\u003e","\u003cp\u003eCarrying out an internal investigation for a global commodities house into allegations of fraud and corruption in an African jurisdiction.\u003c/p\u003e","\u003cp\u003eAdvising an energy sector client in relation to an internal investigation into fraudulent and misleading practices affecting an Asian project, including with regard to self reporting obligations and remediation.\u003c/p\u003e","\u003cp\u003eConducting an urgent internal investigation for a global asset management firm and advising on remedial steps and notification issues.\u003c/p\u003e","\u003cp\u003eAssisting a major, global corporation to design and implement a new compliance department, including the drafting of all compliance policies and procedures and related staff training.\u003c/p\u003e","\u003cp\u003eSuccessfully defended various individuals in the context of the US and UK investigations into manipulation of the London Interbank Offered Rate (LIBOR) and the foreign exchange (FX) market.\u003c/p\u003e","\u003cp\u003eAdvised\u0026nbsp;\u003cstrong\u003eMS Amlin\u003c/strong\u003e\u0026nbsp;in the context of an investigation by Lloyd\u0026rsquo;s of London, achieving a successful outcome.\u003c/p\u003e","\u003cp\u003eRepresented\u0026nbsp;\u003cstrong\u003eSir Paul Judge\u003c/strong\u003e\u0026nbsp;in the context of both the on-going SFO investigation into Eurasian Natural Resources Corporation, and related civil litigation in the High Court of England \u0026amp; Wales.\u003c/p\u003e","\u003cp\u003eAdvising numerous corporates and financial services firms regarding compliance with the FCPA, Bribery Act 2010, anti-money laundering legislation and related financial crime compliance issues, including carrying out internal investigations in this regard.\u003c/p\u003e"],"recognitions":[{"title":"Ranked in Financial Crime: Corporates ","detail":"Chambers UK, 2017-2024"},{"title":"Recognized for his work on corporate and financial services investigations","detail":"Legal 500 2018-2024"},{"title":"Recognized by Global Investigations Review","detail":"GIR"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":5671}]},"capability_group_id":2},"created_at":"2026-02-24T22:16:29.000Z","updated_at":"2026-02-24T22:16:29.000Z","searchable_text":"Stephens{{ FIELD }}{:title=\u0026gt;\"Ranked in Financial Crime: Corporates \", :detail=\u0026gt;\"Chambers UK, 2017-2024\"}{{ FIELD }}{:title=\u0026gt;\"Recognized for his work on corporate and financial services investigations\", :detail=\u0026gt;\"Legal 500 2018-2024\"}{{ FIELD }}{:title=\u0026gt;\"Recognized by Global Investigations Review\", :detail=\u0026gt;\"GIR\"}{{ FIELD }}Part of cross-office team advising a global financial institution in U.S. federal antitrust and English High Court litigation alleging that foreign currency dealers conspired to manipulate the benchmark WM/Reuters currency exchange rate and FX spreads.{{ FIELD }}Advising a global business in the context of an ongoing investigation by the World Bank.{{ FIELD }}Representing a global financial institution in connection with English litigation seeking damages and tracing remedies arising from the 1 Malaysia Development Berhad (1MDB) scandal.{{ FIELD }}Advising various senior individuals in the context of on-going Serious Fraud Office (SFO), Financial Conduct Authority (FCA) and cross-border (DOJ, SEC) investigations into alleged bribery \u0026amp; corruption, market manipulation and \"spoofing\", and other financial crime.{{ FIELD }}Carrying out an internal investigation for a global commodities house into allegations of fraud and corruption in an African jurisdiction.{{ FIELD }}Advising an energy sector client in relation to an internal investigation into fraudulent and misleading practices affecting an Asian project, including with regard to self reporting obligations and remediation.{{ FIELD }}Conducting an urgent internal investigation for a global asset management firm and advising on remedial steps and notification issues.{{ FIELD }}Assisting a major, global corporation to design and implement a new compliance department, including the drafting of all compliance policies and procedures and related staff training.{{ FIELD }}Successfully defended various individuals in the context of the US and UK investigations into manipulation of the London Interbank Offered Rate (LIBOR) and the foreign exchange (FX) market.{{ FIELD }}Advised MS Amlin in the context of an investigation by Lloyd’s of London, achieving a successful outcome.{{ FIELD }}Represented Sir Paul Judge in the context of both the on-going SFO investigation into Eurasian Natural Resources Corporation, and related civil litigation in the High Court of England \u0026amp; Wales.{{ FIELD }}Advising numerous corporates and financial services firms regarding compliance with the FCPA, Bribery Act 2010, anti-money laundering legislation and related financial crime compliance issues, including carrying out internal investigations in this regard.{{ FIELD }}Aaron Stephens is an English and US qualified (California - inactive) partner in the Special Matters and Government Investigations practice, twice named by Law360 as “White Collar Practice Group of the Year.” He specializes in representing financial institutions, corporate clients and senior individuals in highly sensitive litigation and investigations.\nAaron has advised clients on diverse matters across Europe, North America, Asia, the Middle East and Africa in the banking/financial services, energy, defence, construction \u0026amp; engineering and retail industries. He has a particular focus on anti-corruption, anti-money laundering, market abuse and fraud, and with commentators saying that \"Aaron Stephens is hugely likeable, very focused and always available\" (Legal 500 2024), that \"he has a strong financial services practice and brings infectious enthusiasm to every case\" (Legal 500 2024), that \"he understands complex matters and finds practical solutions ... he is brilliant, a responsive and reassuring person to have on your side\" (Chambers UK 2020), and that he is \"very easy to communicate with and finds solutions to complex problems\" (Chambers UK 2022).  \nAaron has carried out regulatory and white collar investigations and/or defended clients in relation to the UK’s Financial Conduct Authority (FCA), Serious Fraud Office (SFO), National Crime Agency (NCA), Takeover Panel and Lloyd’s of London, as well as in matters involving the U.S. Department of Justice (DOJ), Federal Bureau of Investigation (FBI), Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC).  He also engages in civil litigation in the English courts, and advises a wide range of corporate clients on risk management and compliance issues.\nAaron is a Top Ranked Lawyer in Chambers UK 2022 in Financial Crime: Corporates and recognized in Legal 500 2021 for his work on corporate and financial services investigations (\"the epitome of a trusted adviser\").  Chambers UK notes that sources observe that \"he is an incredible professional,\" adding that \"he's a very steady hand and very comforting to clients; he's unflappable.\"  In addition, Global Investigations Review has described him as an “excellent lawyer who is credited by sources for his work developing [his] practice into a formidable offering.”\nPrior to joining King \u0026amp; Spalding, Aaron was the Head of Corporate Crime and Investigations at the London headquarters of an international law firm. Partner Ranked in Financial Crime: Corporates  Chambers UK, 2017-2024 Recognized for his work on corporate and financial services investigations Legal 500 2018-2024 Recognized by Global Investigations Review GIR Indiana University Indiana University School of Law Case Western Reserve University Case Western Reserve University School of Law California England and Wales American Bar Association Member of the Financial Services Consultation Board for Practical Law/Thomson Reuters Vice Chair of the Business Crime Committee of the International Bar Association Member of the Council of JUSTICE Law Society of England \u0026amp; Wales (Admitted 5/15/2003; Reg. # 382567) Part of cross-office team advising a global financial institution in U.S. federal antitrust and English High Court litigation alleging that foreign currency dealers conspired to manipulate the benchmark WM/Reuters currency exchange rate and FX spreads. Advising a global business in the context of an ongoing investigation by the World Bank. Representing a global financial institution in connection with English litigation seeking damages and tracing remedies arising from the 1 Malaysia Development Berhad (1MDB) scandal. Advising various senior individuals in the context of on-going Serious Fraud Office (SFO), Financial Conduct Authority (FCA) and cross-border (DOJ, SEC) investigations into alleged bribery \u0026amp; corruption, market manipulation and \"spoofing\", and other financial crime. Carrying out an internal investigation for a global commodities house into allegations of fraud and corruption in an African jurisdiction. Advising an energy sector client in relation to an internal investigation into fraudulent and misleading practices affecting an Asian project, including with regard to self reporting obligations and remediation. Conducting an urgent internal investigation for a global asset management firm and advising on remedial steps and notification issues. Assisting a major, global corporation to design and implement a new compliance department, including the drafting of all compliance policies and procedures and related staff training. Successfully defended various individuals in the context of the US and UK investigations into manipulation of the London Interbank Offered Rate (LIBOR) and the foreign exchange (FX) market. Advised MS Amlin in the context of an investigation by Lloyd’s of London, achieving a successful outcome. Represented Sir Paul Judge in the context of both the on-going SFO investigation into Eurasian Natural Resources Corporation, and related civil litigation in the High Court of England \u0026amp; Wales. Advising numerous corporates and financial services firms regarding compliance with the FCPA, Bribery Act 2010, anti-money laundering legislation and related financial crime compliance issues, including carrying out internal investigations in this regard.","searchable_name":"Aaron Stephens","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":442390,"version":1,"owner_type":"Person","owner_id":1058,"payload":{"bio":"\u003cp\u003ePaul Straus specializes in defending complex securities and commercial disputes, with a particular concentration in representing financial institutions and accounting firms. A partner in our Securities and Shareholder Litigation and Securities Enforcement and Regulation practices, Paul has successfully represented clients on a wide variety of issues in federal and state courts and in investigations by the Securities and Exchange Commission and other government agencies.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePaul has over 25 years of experience defending clients in complex securities and commercial litigation and government investigations. He has built a reputation for excellent client service by being responsive, available on demand and sensitive to clients\u0026rsquo; business and litigation concerns. He looks to help clients manage risk and reduce costs by winning early dismissals and persuading authorities not to take action. Paul also provides practical dispute advice to financial institutions and other clients seeking to head off full-blown litigation.\u003c/p\u003e\n\u003cp\u003eWhen trial is the right strategic approach, Paul is prepared to try cases. He second-chaired the trial defense of Jean-Marie Messier, the former Chairman and CEO of Vivendi Universal, S.A., in \u003cem data-redactor-tag=\"em\"\u003eIn re Vivendi Securities Litigation\u003c/em\u003e (S.D.N.Y.), said to be the largest federal securities class action trial in history. After a four-month trial, the jury found in favor of Paul's client on all claims.\u003c/p\u003e\n\u003cp\u003ePaul has represented clients in cases pending in federal and state courts in New York, New Jersey, Connecticut, Delaware, Texas, Alabama and Florida. He has represented clients in investigations by the SEC, the New York State Attorney General, the New York Inspector General and other government authorities.\u003c/p\u003e\n\u003cp\u003ePaul also writes and speaks on various aspects of securities law, accountant liability and civil litigation.\u003c/p\u003e","slug":"paul-straus","email":"pstraus@kslaw.com","phone":"+1 917 696 8804","matters":["\u003cp\u003eWon the dismissal with prejudice of a Section 10(b) complaint against automotive transportation and logistics provider\u003cstrong\u003e\u0026nbsp;Jack Cooper Holdings\u0026nbsp;\u003c/strong\u003eand\u003cstrong\u003e\u0026nbsp;two of its officers\u003c/strong\u003e\u0026nbsp;by an alleged purchaser of $28 million of the company\u0026rsquo;s senior secured notes (see\u0026nbsp;\u003cem\u003eRiver Birch Capital, LLC v. Jack Cooper Holdings Corp. et al.,\u003c/em\u003e\u0026nbsp;2019 WL 1099943 (S.D.N.Y. March 8, 2019)\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eJean-Marie Messier\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003e,\u003c/strong\u003e\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former Chairman and CEO of Vivendi Universal, S.A.,\u003c/strong\u003e\u0026nbsp;in the jury trial of\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eIn re Vivendi Securities Litigation\u003c/em\u003e\u0026nbsp;(S.D.N.Y.), said to be the largest federal securities class action trial in history. The plaintiff class claimed billions of dollars in damages arising from the company\u0026rsquo;s allegedly false or misleading financial statements and public disclosures. After a four-month trial, the jury found in favor of Mr. Messier on all claims.\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a $120 million securities fraud action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea private equity firm\u003c/strong\u003e\u0026nbsp;arising from the sale of a natural gas storage facility.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former chairman and CEO of At Home Corporation\u003c/strong\u003e\u0026nbsp;in\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eLeykin v. AT\u0026amp;T Corporation\u003c/em\u003e\u0026nbsp;(S.D.N.Y.), a shareholder class action alleging securities fraud against the company\u0026rsquo;s officers, directors and controlling corporate shareholders based on alleged misrepresentations concerning the company\u0026rsquo;s proprietary technology, revenues and growth projections.\u003c/p\u003e","\u003cp\u003eWon the dismissal of multiple securities fraud class actions against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean investment advisor\u003c/strong\u003e\u0026nbsp;arising out of $325 million in losses suffered by closed-end investment trusts investing in mortgage-backed securities and other instruments.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former CEO of Just For Feet, Inc.\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003e,\u003c/strong\u003e\u0026nbsp;in an action by purchasers of $200 million in notes (\u003cem data-redactor-tag=\"em\"\u003esee\u003c/em\u003e\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eAAL High Yield Bond Fund v. Ruttenberg\u003c/em\u003e, 00-C-1404-S, 2001 WL 34372980 (N.D. Ala. Sept. 30, 2001)).\u003c/p\u003e","\u003cp\u003eDefeated an application for a TRO against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean internet retailer\u003c/strong\u003e\u0026nbsp;in an action by short sellers alleging that the company was conspiring with its market maker to manipulate the market in the company\u0026rsquo;s stock.\u003c/p\u003e","\u003cp\u003eFavorably settled a securities fraud class action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean underwriter\u003c/strong\u003e\u0026nbsp;alleging fraud in the issuer\u0026rsquo;s financial statements.\u003c/p\u003e","\u003cp\u003eHas represented\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003efinancial institutions, accounting firms and other clients\u003c/strong\u003e\u0026nbsp;in investigations by the SEC and other government agencies.\u003c/p\u003e","\u003cp\u003eHas represented\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eaccounting firms\u003c/strong\u003e\u0026nbsp;in investigations by the SEC, the New York Attorney General and other agencies.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean accounting firm\u003c/strong\u003e\u0026nbsp;in a consolidated federal securities class action brought by shareholders of a Bermuda reinsurer with over 25 million shares outstanding during the class period (\u003cem data-redactor-tag=\"em\"\u003esee\u003c/em\u003e\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eSchnall v. Annuity and Life Re (Holdings), Ltd.,\u003c/em\u003e3:02 CV 2133 (EBB), 2007 WL 2936242 (D. Conn. Oct. 5, 2007)).\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean accounting firm\u003c/strong\u003e\u0026nbsp;in a New York state court action alleging fraud, conspiracy, and aiding and abetting.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean actuary\u003c/strong\u003e\u0026nbsp;in a breach of fiduciary duty suit brought by trustees of major New York pension funds (\u003cem data-redactor-tag=\"em\"\u003esee New York District Council of Carpenters Pension Fund v. Savasta\u003c/em\u003e, No. 99 CV 11362 (GBD), 2005 WL 22872 (S.D.N.Y. Jan. 4, 2005)).\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a federal action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea major U.S. bank\u003c/strong\u003e\u0026nbsp;alleging breach of a standby letter of credit.\u003c/p\u003e","\u003cp\u003eRegularly counsels\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ecommercial real estate lenders\u003c/strong\u003e\u0026nbsp;in connection with troubled loans, workouts, inter-creditor issues and disputes with borrowers and guarantors, often outside of litigation.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against global real estate company\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eMitsui Fudosan America, Inc.\u003c/strong\u003e\u0026nbsp;in\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eNew York City Council Member Ydanis Rodriguez et al. v. Deputy Inspector Edward Winski et al.\u003c/em\u003e, Civ. No. 12 CIV 3389 (NRB) (RLE).\u003c/p\u003e","\u003cp\u003eSuccessfully opposed a motion for a preliminary injunction against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea real estate investment company\u003c/strong\u003e\u0026nbsp;in connection with the sale of a downtown Manhattan office building.\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a breach of contract action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea Luxembourg SICAV\u003c/strong\u003e\u0026nbsp;brought by a putative securities purchaser.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea global corporate trade credit firm\u003c/strong\u003e\u0026nbsp;in an action by a major U.S. insurance company arising out the issuance of insured corporate trade credits.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[{"id":142}]},"expertise":[{"id":19,"guid":"19.capabilities","index":0,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":1,"source":"capabilities"},{"id":3,"guid":"3.capabilities","index":2,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":3,"source":"capabilities"},{"id":18,"guid":"18.capabilities","index":4,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":5,"source":"capabilities"},{"id":750,"guid":"750.smart_tags","index":6,"source":"smartTags"},{"id":74,"guid":"74.capabilities","index":7,"source":"capabilities"}],"is_active":true,"last_name":"Straus","nick_name":"Paul","clerkships":[],"first_name":"Paul","title_rank":9999,"updated_by":101,"law_schools":[],"middle_name":"A.","name_suffix":"","recognitions":null,"linked_in_url":"https://www.linkedin.com/in/paul-straus-32738b9/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003ePaul Straus specializes in defending complex securities and commercial disputes, with a particular concentration in representing financial institutions and accounting firms. A partner in our Securities and Shareholder Litigation and Securities Enforcement and Regulation practices, Paul has successfully represented clients on a wide variety of issues in federal and state courts and in investigations by the Securities and Exchange Commission and other government agencies.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003ePaul has over 25 years of experience defending clients in complex securities and commercial litigation and government investigations. He has built a reputation for excellent client service by being responsive, available on demand and sensitive to clients\u0026rsquo; business and litigation concerns. He looks to help clients manage risk and reduce costs by winning early dismissals and persuading authorities not to take action. Paul also provides practical dispute advice to financial institutions and other clients seeking to head off full-blown litigation.\u003c/p\u003e\n\u003cp\u003eWhen trial is the right strategic approach, Paul is prepared to try cases. He second-chaired the trial defense of Jean-Marie Messier, the former Chairman and CEO of Vivendi Universal, S.A., in \u003cem data-redactor-tag=\"em\"\u003eIn re Vivendi Securities Litigation\u003c/em\u003e (S.D.N.Y.), said to be the largest federal securities class action trial in history. After a four-month trial, the jury found in favor of Paul's client on all claims.\u003c/p\u003e\n\u003cp\u003ePaul has represented clients in cases pending in federal and state courts in New York, New Jersey, Connecticut, Delaware, Texas, Alabama and Florida. He has represented clients in investigations by the SEC, the New York State Attorney General, the New York Inspector General and other government authorities.\u003c/p\u003e\n\u003cp\u003ePaul also writes and speaks on various aspects of securities law, accountant liability and civil litigation.\u003c/p\u003e","matters":["\u003cp\u003eWon the dismissal with prejudice of a Section 10(b) complaint against automotive transportation and logistics provider\u003cstrong\u003e\u0026nbsp;Jack Cooper Holdings\u0026nbsp;\u003c/strong\u003eand\u003cstrong\u003e\u0026nbsp;two of its officers\u003c/strong\u003e\u0026nbsp;by an alleged purchaser of $28 million of the company\u0026rsquo;s senior secured notes (see\u0026nbsp;\u003cem\u003eRiver Birch Capital, LLC v. Jack Cooper Holdings Corp. et al.,\u003c/em\u003e\u0026nbsp;2019 WL 1099943 (S.D.N.Y. March 8, 2019)\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eJean-Marie Messier\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003e,\u003c/strong\u003e\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former Chairman and CEO of Vivendi Universal, S.A.,\u003c/strong\u003e\u0026nbsp;in the jury trial of\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eIn re Vivendi Securities Litigation\u003c/em\u003e\u0026nbsp;(S.D.N.Y.), said to be the largest federal securities class action trial in history. The plaintiff class claimed billions of dollars in damages arising from the company\u0026rsquo;s allegedly false or misleading financial statements and public disclosures. After a four-month trial, the jury found in favor of Mr. Messier on all claims.\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a $120 million securities fraud action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea private equity firm\u003c/strong\u003e\u0026nbsp;arising from the sale of a natural gas storage facility.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former chairman and CEO of At Home Corporation\u003c/strong\u003e\u0026nbsp;in\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eLeykin v. AT\u0026amp;T Corporation\u003c/em\u003e\u0026nbsp;(S.D.N.Y.), a shareholder class action alleging securities fraud against the company\u0026rsquo;s officers, directors and controlling corporate shareholders based on alleged misrepresentations concerning the company\u0026rsquo;s proprietary technology, revenues and growth projections.\u003c/p\u003e","\u003cp\u003eWon the dismissal of multiple securities fraud class actions against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean investment advisor\u003c/strong\u003e\u0026nbsp;arising out of $325 million in losses suffered by closed-end investment trusts investing in mortgage-backed securities and other instruments.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ethe former CEO of Just For Feet, Inc.\u003c/strong\u003e\u003cstrong data-redactor-tag=\"strong\"\u003e,\u003c/strong\u003e\u0026nbsp;in an action by purchasers of $200 million in notes (\u003cem data-redactor-tag=\"em\"\u003esee\u003c/em\u003e\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eAAL High Yield Bond Fund v. Ruttenberg\u003c/em\u003e, 00-C-1404-S, 2001 WL 34372980 (N.D. Ala. Sept. 30, 2001)).\u003c/p\u003e","\u003cp\u003eDefeated an application for a TRO against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean internet retailer\u003c/strong\u003e\u0026nbsp;in an action by short sellers alleging that the company was conspiring with its market maker to manipulate the market in the company\u0026rsquo;s stock.\u003c/p\u003e","\u003cp\u003eFavorably settled a securities fraud class action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean underwriter\u003c/strong\u003e\u0026nbsp;alleging fraud in the issuer\u0026rsquo;s financial statements.\u003c/p\u003e","\u003cp\u003eHas represented\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003efinancial institutions, accounting firms and other clients\u003c/strong\u003e\u0026nbsp;in investigations by the SEC and other government agencies.\u003c/p\u003e","\u003cp\u003eHas represented\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eaccounting firms\u003c/strong\u003e\u0026nbsp;in investigations by the SEC, the New York Attorney General and other agencies.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean accounting firm\u003c/strong\u003e\u0026nbsp;in a consolidated federal securities class action brought by shareholders of a Bermuda reinsurer with over 25 million shares outstanding during the class period (\u003cem data-redactor-tag=\"em\"\u003esee\u003c/em\u003e\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eSchnall v. Annuity and Life Re (Holdings), Ltd.,\u003c/em\u003e3:02 CV 2133 (EBB), 2007 WL 2936242 (D. Conn. Oct. 5, 2007)).\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean accounting firm\u003c/strong\u003e\u0026nbsp;in a New York state court action alleging fraud, conspiracy, and aiding and abetting.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ean actuary\u003c/strong\u003e\u0026nbsp;in a breach of fiduciary duty suit brought by trustees of major New York pension funds (\u003cem data-redactor-tag=\"em\"\u003esee New York District Council of Carpenters Pension Fund v. Savasta\u003c/em\u003e, No. 99 CV 11362 (GBD), 2005 WL 22872 (S.D.N.Y. Jan. 4, 2005)).\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a federal action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea major U.S. bank\u003c/strong\u003e\u0026nbsp;alleging breach of a standby letter of credit.\u003c/p\u003e","\u003cp\u003eRegularly counsels\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ecommercial real estate lenders\u003c/strong\u003e\u0026nbsp;in connection with troubled loans, workouts, inter-creditor issues and disputes with borrowers and guarantors, often outside of litigation.\u003c/p\u003e","\u003cp\u003eWon the dismissal of all claims against global real estate company\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003eMitsui Fudosan America, Inc.\u003c/strong\u003e\u0026nbsp;in\u0026nbsp;\u003cem data-redactor-tag=\"em\"\u003eNew York City Council Member Ydanis Rodriguez et al. v. Deputy Inspector Edward Winski et al.\u003c/em\u003e, Civ. No. 12 CIV 3389 (NRB) (RLE).\u003c/p\u003e","\u003cp\u003eSuccessfully opposed a motion for a preliminary injunction against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea real estate investment company\u003c/strong\u003e\u0026nbsp;in connection with the sale of a downtown Manhattan office building.\u003c/p\u003e","\u003cp\u003eDefended and favorably settled a breach of contract action against\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea Luxembourg SICAV\u003c/strong\u003e\u0026nbsp;brought by a putative securities purchaser.\u003c/p\u003e","\u003cp\u003eDefended\u0026nbsp;\u003cstrong data-redactor-tag=\"strong\"\u003ea global corporate trade credit firm\u003c/strong\u003e\u0026nbsp;in an action by a major U.S. insurance company arising out the issuance of insured corporate trade credits.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":98}]},"capability_group_id":3},"created_at":"2025-11-05T05:04:06.000Z","updated_at":"2025-11-05T05:04:06.000Z","searchable_text":"Straus{{ FIELD }}Won the dismissal with prejudice of a Section 10(b) complaint against automotive transportation and logistics provider Jack Cooper Holdings and two of its officers by an alleged purchaser of $28 million of the company’s senior secured notes (see River Birch Capital, LLC v. Jack Cooper Holdings Corp. et al., 2019 WL 1099943 (S.D.N.Y. March 8, 2019){{ FIELD }}Defended Jean-Marie Messier, the former Chairman and CEO of Vivendi Universal, S.A., in the jury trial of In re Vivendi Securities Litigation (S.D.N.Y.), said to be the largest federal securities class action trial in history. The plaintiff class claimed billions of dollars in damages arising from the company’s allegedly false or misleading financial statements and public disclosures. After a four-month trial, the jury found in favor of Mr. Messier on all claims.{{ FIELD }}Defended and favorably settled a $120 million securities fraud action against a private equity firm arising from the sale of a natural gas storage facility.{{ FIELD }}Defended the former chairman and CEO of At Home Corporation in Leykin v. AT\u0026amp;T Corporation (S.D.N.Y.), a shareholder class action alleging securities fraud against the company’s officers, directors and controlling corporate shareholders based on alleged misrepresentations concerning the company’s proprietary technology, revenues and growth projections.{{ FIELD }}Won the dismissal of multiple securities fraud class actions against an investment advisor arising out of $325 million in losses suffered by closed-end investment trusts investing in mortgage-backed securities and other instruments.{{ FIELD }}Won the dismissal of all claims against the former CEO of Just For Feet, Inc., in an action by purchasers of $200 million in notes (see AAL High Yield Bond Fund v. Ruttenberg, 00-C-1404-S, 2001 WL 34372980 (N.D. Ala. Sept. 30, 2001)).{{ FIELD }}Defeated an application for a TRO against an internet retailer in an action by short sellers alleging that the company was conspiring with its market maker to manipulate the market in the company’s stock.{{ FIELD }}Favorably settled a securities fraud class action against an underwriter alleging fraud in the issuer’s financial statements.{{ FIELD }}Has represented financial institutions, accounting firms and other clients in investigations by the SEC and other government agencies.{{ FIELD }}Has represented accounting firms in investigations by the SEC, the New York Attorney General and other agencies.{{ FIELD }}Defended an accounting firm in a consolidated federal securities class action brought by shareholders of a Bermuda reinsurer with over 25 million shares outstanding during the class period (see Schnall v. Annuity and Life Re (Holdings), Ltd.,3:02 CV 2133 (EBB), 2007 WL 2936242 (D. Conn. Oct. 5, 2007)).{{ FIELD }}Defended an accounting firm in a New York state court action alleging fraud, conspiracy, and aiding and abetting.{{ FIELD }}Won the dismissal of all claims against an actuary in a breach of fiduciary duty suit brought by trustees of major New York pension funds (see New York District Council of Carpenters Pension Fund v. Savasta, No. 99 CV 11362 (GBD), 2005 WL 22872 (S.D.N.Y. Jan. 4, 2005)).{{ FIELD }}Defended and favorably settled a federal action against a major U.S. bank alleging breach of a standby letter of credit.{{ FIELD }}Regularly counsels commercial real estate lenders in connection with troubled loans, workouts, inter-creditor issues and disputes with borrowers and guarantors, often outside of litigation.{{ FIELD }}Won the dismissal of all claims against global real estate company Mitsui Fudosan America, Inc. in New York City Council Member Ydanis Rodriguez et al. v. Deputy Inspector Edward Winski et al., Civ. No. 12 CIV 3389 (NRB) (RLE).{{ FIELD }}Successfully opposed a motion for a preliminary injunction against a real estate investment company in connection with the sale of a downtown Manhattan office building.{{ FIELD }}Defended and favorably settled a breach of contract action against a Luxembourg SICAV brought by a putative securities purchaser.{{ FIELD }}Defended a global corporate trade credit firm in an action by a major U.S. insurance company arising out the issuance of insured corporate trade credits.{{ FIELD }}Paul Straus specializes in defending complex securities and commercial disputes, with a particular concentration in representing financial institutions and accounting firms. A partner in our Securities and Shareholder Litigation and Securities Enforcement and Regulation practices, Paul has successfully represented clients on a wide variety of issues in federal and state courts and in investigations by the Securities and Exchange Commission and other government agencies.\nPaul has over 25 years of experience defending clients in complex securities and commercial litigation and government investigations. He has built a reputation for excellent client service by being responsive, available on demand and sensitive to clients’ business and litigation concerns. He looks to help clients manage risk and reduce costs by winning early dismissals and persuading authorities not to take action. Paul also provides practical dispute advice to financial institutions and other clients seeking to head off full-blown litigation.\nWhen trial is the right strategic approach, Paul is prepared to try cases. He second-chaired the trial defense of Jean-Marie Messier, the former Chairman and CEO of Vivendi Universal, S.A., in In re Vivendi Securities Litigation (S.D.N.Y.), said to be the largest federal securities class action trial in history. After a four-month trial, the jury found in favor of Paul's client on all claims.\nPaul has represented clients in cases pending in federal and state courts in New York, New Jersey, Connecticut, Delaware, Texas, Alabama and Florida. He has represented clients in investigations by the SEC, the New York State Attorney General, the New York Inspector General and other government authorities.\nPaul also writes and speaks on various aspects of securities law, accountant liability and civil litigation. Paul A Straus Partner Cornell University Cornell Law School New York University New York University School of Law 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 U.S. District Court for the Western District of New York New York Association of the Bar of the City of New York Won the dismissal with prejudice of a Section 10(b) complaint against automotive transportation and logistics provider Jack Cooper Holdings and two of its officers by an alleged purchaser of $28 million of the company’s senior secured notes (see River Birch Capital, LLC v. Jack Cooper Holdings Corp. et al., 2019 WL 1099943 (S.D.N.Y. March 8, 2019) Defended Jean-Marie Messier, the former Chairman and CEO of Vivendi Universal, S.A., in the jury trial of In re Vivendi Securities Litigation (S.D.N.Y.), said to be the largest federal securities class action trial in history. The plaintiff class claimed billions of dollars in damages arising from the company’s allegedly false or misleading financial statements and public disclosures. After a four-month trial, the jury found in favor of Mr. Messier on all claims. Defended and favorably settled a $120 million securities fraud action against a private equity firm arising from the sale of a natural gas storage facility. Defended the former chairman and CEO of At Home Corporation in Leykin v. AT\u0026amp;T Corporation (S.D.N.Y.), a shareholder class action alleging securities fraud against the company’s officers, directors and controlling corporate shareholders based on alleged misrepresentations concerning the company’s proprietary technology, revenues and growth projections. Won the dismissal of multiple securities fraud class actions against an investment advisor arising out of $325 million in losses suffered by closed-end investment trusts investing in mortgage-backed securities and other instruments. Won the dismissal of all claims against the former CEO of Just For Feet, Inc., in an action by purchasers of $200 million in notes (see AAL High Yield Bond Fund v. Ruttenberg, 00-C-1404-S, 2001 WL 34372980 (N.D. Ala. Sept. 30, 2001)). Defeated an application for a TRO against an internet retailer in an action by short sellers alleging that the company was conspiring with its market maker to manipulate the market in the company’s stock. Favorably settled a securities fraud class action against an underwriter alleging fraud in the issuer’s financial statements. Has represented financial institutions, accounting firms and other clients in investigations by the SEC and other government agencies. Has represented accounting firms in investigations by the SEC, the New York Attorney General and other agencies. Defended an accounting firm in a consolidated federal securities class action brought by shareholders of a Bermuda reinsurer with over 25 million shares outstanding during the class period (see Schnall v. Annuity and Life Re (Holdings), Ltd.,3:02 CV 2133 (EBB), 2007 WL 2936242 (D. Conn. Oct. 5, 2007)). Defended an accounting firm in a New York state court action alleging fraud, conspiracy, and aiding and abetting. Won the dismissal of all claims against an actuary in a breach of fiduciary duty suit brought by trustees of major New York pension funds (see New York District Council of Carpenters Pension Fund v. Savasta, No. 99 CV 11362 (GBD), 2005 WL 22872 (S.D.N.Y. Jan. 4, 2005)). Defended and favorably settled a federal action against a major U.S. bank alleging breach of a standby letter of credit. Regularly counsels commercial real estate lenders in connection with troubled loans, workouts, inter-creditor issues and disputes with borrowers and guarantors, often outside of litigation. Won the dismissal of all claims against global real estate company Mitsui Fudosan America, Inc. in New York City Council Member Ydanis Rodriguez et al. v. Deputy Inspector Edward Winski et al., Civ. No. 12 CIV 3389 (NRB) (RLE). Successfully opposed a motion for a preliminary injunction against a real estate investment company in connection with the sale of a downtown Manhattan office building. Defended and favorably settled a breach of contract action against a Luxembourg SICAV brought by a putative securities purchaser. Defended a global corporate trade credit firm in an action by a major U.S. insurance company arising out the issuance of insured corporate trade credits.","searchable_name":"Paul A. Straus","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":442854,"version":1,"owner_type":"Person","owner_id":6020,"payload":{"bio":"\u003cp\u003eCliff Stricklin, a longtime Texas and Colorado based trial lawyer,\u0026nbsp;guides companies and executives through critical situations where litigation is a possible result. He advises clients in commercial disputes and defends them against government inquiries and private allegations of wrongdoing. He is a trusted advisor to C-suite executives and board members. He performs independent investigations on behalf of corporations and boards on subjects that include auditing, accounting, corporate governance and control, sexual harassment, and fraud. Should litigation become necessary, Cliff is an accomplished trial lawyer who has successfully tried and won some of the nation\u0026rsquo;s largest, most complex cases, including those involving Enron and Qwest.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eCliff aggressively defends corporations and executives in serious matters involving commercial litigation, antitrust, the False Claims Act, securities fraud and regulation (including cryptocurrency issues), industrial accidents, healthcare fraud, and environmental claims. He provides sophisticated advice and counseling in government\u0026nbsp;investigations and parallel civil suits.\u0026nbsp; His industry experience includes healthcare, finance \u0026amp; banking, fintech \u0026amp; cryptocurrency, oil \u0026amp; gas, pipelines, regulated utilities, telecommunications, civil engineering, web-based retail, biotech, medical devices, food production, faith-based organizations, real estate investments, recreation \u0026amp; hospitality, sports \u0026amp; entertainment, higher education, and mining.\u003c/p\u003e\n\u003cp\u003eHis public service positions have\u0026nbsp;included the roles of First Assistant U.S. Attorney for the District of Colorado, Special Assistant U.S. Attorney with the Enron Task Force in Houston and Dallas, Texas, State District Judge in Dallas, Texas, and Assistant U.S. Attorney in Plano and Dallas, Texas.\u0026nbsp;\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eAs a federal prosecutor, Cliff was one of the few attorneys to have won the two highest awards bestowed by the U.S. Department of Justice: the Attorney General\u0026rsquo;s Award for Exceptional Service for his work as a key member of the Enron Task Force, and the Attorney General\u0026rsquo;s Award for Distinguished Service for his work prosecuting the CEO of Qwest Communications for insider trading.\u003c/p\u003e\n\u003cp\u003eCliff\u0026rsquo;s courtroom experience also extends to the bench. During his distinguished term as a Texas state district judge in which he heard thousands of cases \u0026ndash; not a single case was overturned on appeal. Cliff also served as presiding judge in Dallas County, Texas, a position he used to implement a number of measures designed to bring openness and fairness to the justice system. \u003cem\u003eThe Dallas Morning News\u003c/em\u003e opined, \u0026ldquo;Mr. Stricklin totes impressive credentials. His work ethic, calm judicial temperament and judgment have earned him the respect of his robed colleagues \u0026hellip; Mr. Stricklin has performed admirably on the bench.\u0026rdquo;\u003c/p\u003e\n\u003cp\u003eAdditionally, Cliff created the White Collar Criminal Law program at the University of Colorado\u0026rsquo;s School of Law and served there as an adjunct professor for ten years. He also\u0026nbsp;taught trial advocacy at SMU Dedman School of Law in Dallas, Texas, and at the U.S. Department of Justice's National Advocacy Center in Columbia, South Carolina and Washington, D.C.\u0026nbsp;He is also Board Certified in Criminal Law by the Texas Board of Legal Specialization.\u003c/p\u003e","slug":"cliff-stricklin","email":"cstricklin@kslaw.com","phone":"+1 303 489 6679","matters":["\u003cp\u003eRepresented the former CFO of a technology company in a federal grand jury investigation led by the U.S. Department of Justice\u0026rsquo;s Antitrust Division into alleged non-solicitation and \u0026ldquo;no poach\u0026rdquo; agreements. After a six-month long investigation, the government declined to prosecute and closed the case.\u003c/p\u003e","\u003cp\u003eRepresented a U.S. Olympic athletic organization in a multi-year investigation by the U.S. Department of Justice that included response to wide-ranging grand jury subpoenas. The matter was concluded when the Department declined to pursue charges.\u003c/p\u003e","\u003cp\u003eLed the defense of a large food manufacturing company and its majority shareholders against claims of breach of fiduciary duty and oppression brought by the minority shareholders in a two-week jury trial. The plaintiffs' lawsuit sought to dissolve the company and $2 billion in damages. After a two-week trial a jury found for the company and the majority shareholders and the plaintiffs took nothing. The jury foreperson was later quoted as saying, \"[Stricklin's] closing was amazing. [The defense team] did a great job. To us at least, the closing really pieced together a lot of the evidence we had questions about or thoughts about.\"\u003c/p\u003e","\u003cp\u003eRepresented the former CEO of a Fortune 250 healthcare company against first of their kind federal antitrust criminal charges involving \"no poach\" agreements brought by the U.S. Department of Justice's Antitrust Division. After a two-week trial a jury found the client not guilty of all charges.\u003c/p\u003e","\u003cp\u003eRepresented two banking executives in a grand jury investigation involving theft of trade secrets and computer crimes. After a six month investigation, case was dismissed by prosecutors.\u003c/p\u003e","\u003cp\u003eRepresented a midstream pipeline company in relation to largest pipeline spill of its kind. After a seven year investigation by the U.S. Department of Justice's Environmental and Natural Resources Division, the Environmental Protection Agency, and the North Dakota Department of Environmental Quality, all claims were resolved with a Clean Water Act Misdemeanor and Failure to Report felony. The plea did not include any individuals or restitution, did not require a corporate monitor or debarment, and allowed the fine to be paid out over five years.\u003c/p\u003e","\u003cp\u003eLed the defense of a large food manufacturing company in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;action under the False Claims Act matter brought by an individual U.S. Department of Agriculture Inspector valued at over $1b. The matter resulted in the government declining to intervene and the U.S. District Court dismissing the Inspector's lawsuit with prejudice and awarding client costs.\u003c/p\u003e","\u003cp\u003eRepresented a Fortune 250 healthcare company in a False Claims Act lawsuit brought by a whistleblower. The matter resulted in the U.S. District Court dismissing the complaint based on motions, and the relator did not re-file.\u003c/p\u003e","\u003cp\u003eRepresented a Fortune 250 healthcare company in an investigation by the U.S. Attorney\u0026rsquo;s Office and U.S. Health and Human Services in an investigation relating to the Anti-Kickback Statute and Stark Law. The matter resulted in no action being taken.\u003c/p\u003e","\u003cp\u003eRepresented a CEO of a large, publicly-traded tech company in an independent board member investigation. The matter resulted in no action being taken.\u003c/p\u003e","\u003cp\u003eRepresented a Chief Accounting Officer of a large civil engineering firm in an U.S. Securities and Exchange Commission investigation into financial reporting issues. The matter resulted in a \u0026ldquo;no action\u0026rdquo; letter provided by SEC.\u003c/p\u003e","\u003cp\u003eRepresented a corporate owner in an insider trading investigation brought by the U.S. Securities and Exchange Commission and U.S. Department of Justice. The result of the matter was the entry of a \u0026ldquo;no admit or deny\u0026rdquo; administrative order and no charges were brought.\u003c/p\u003e","\u003cp\u003eRepresented a national telecom provider in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act matter alleging fraud into the Federal Government E-Rate program. The matter resulted in the federal government declining to intervene and the case being dismissed.\u003c/p\u003e","\u003cp\u003eRepresented a large regional not-for-profit hospital in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act alleging Medicare and Medicaid fraud. The investigation lasted 18 months, with the results being a minimal settlement with the state Attorney General\u0026rsquo;s office, and the federal government declining to intervene.\u003c/p\u003e","\u003cp\u003eRepresented a large civil engineering firm in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act matter and a civil and criminal investigation by the Department of Energy and the Department of Justice. The matter resulted in the relator being dismissed, and there was a civil settlement with the DOJ that included a non-prosecution agreement.\u003c/p\u003e","\u003cp\u003eRepresented a large engineering and infrastructure corporation in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act investigation by the U.S. Department of Justice and the U.S. Attorney's Office related to liquid petroleum gas installation issued during Hurricane Katrina recovery. The matter resulted in the government declining to intervene and the case being dismissed.\u003c/p\u003e","\u003cp\u003eRepresented a principal investor in a complicated investment plan investigated over a three-year period for securities fraud. The matter resulted in no charges being filed.\u003c/p\u003e","\u003cp\u003eRepresented a healthcare industry executive investigated for conspiracy to defraud the government and importation of unlicensed medical devices. The matter resulted in no jail time, no probation, a guilty plea to misprision and a $10k fine.\u003c/p\u003e","\u003cp\u003eLed the defense of Xcel Energy, Inc. and Public Service Company of Colorado against federal criminal charges arising out of an accident that killed five contractors at a hydroelectric power plant. The result of the matter after a five-week long trial involving complex OSHA regulations, was a jury returning not-guilty verdicts in favor of both companies.\u003c/p\u003e","\u003cp\u003eRepresented a large food production company in environmental litigation against the seller of property that failed to disclose the presence of asbestos. The result of the matter was a successful settlement for the client.\u003c/p\u003e","\u003cp\u003eRepresented Chemical \u0026amp; Metal Industries, Inc. in an appeal from a $3m fine and restitution award in the U.S. 5th Circuit Court of Appeals. The result of the matter was the restitution being vacated completely and the fine being reduced to $500k.\u003c/p\u003e","\u003cp\u003eRepresented an executive at a Fortune 500 healthcare company in a matter involving the Anti-Kickback Statute and the Stark Law. The matter resulted in no charges being brought.\u003c/p\u003e","\u003cp\u003eDefended a natural gas production and distribution company against a civil complaint filed by the Environmental Protection Agency. The result of the matter was a successful settlement for the client.\u003c/p\u003e","\u003cp\u003eDefended Eddie Bauer in an intellectual property case involving trademarked brand names. The matter resulted in a successful resolution for Eddie Bauer.\u003c/p\u003e","\u003cp\u003eRepresented a Nobel Prize winning scientist in an investigation by the U.S. Department of Commerce relating to climate change issues. The matter resulted in no charges being brought.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":11,"guid":"11.capabilities","index":0,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":1,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":2,"source":"capabilities"},{"id":1,"guid":"1.capabilities","index":3,"source":"capabilities"},{"id":952,"guid":"952.smart_tags","index":4,"source":"smartTags"},{"id":766,"guid":"766.smart_tags","index":5,"source":"smartTags"},{"id":71,"guid":"71.capabilities","index":6,"source":"capabilities"},{"id":1168,"guid":"1168.smart_tags","index":7,"source":"smartTags"},{"id":21,"guid":"21.capabilities","index":8,"source":"capabilities"},{"id":103,"guid":"103.capabilities","index":9,"source":"capabilities"},{"id":81,"guid":"81.capabilities","index":10,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":11,"source":"capabilities"},{"id":118,"guid":"118.capabilities","index":12,"source":"capabilities"},{"id":765,"guid":"765.smart_tags","index":13,"source":"smartTags"},{"id":1199,"guid":"1199.smart_tags","index":14,"source":"smartTags"},{"id":1188,"guid":"1188.smart_tags","index":15,"source":"smartTags"},{"id":761,"guid":"761.smart_tags","index":16,"source":"smartTags"},{"id":750,"guid":"750.smart_tags","index":17,"source":"smartTags"},{"id":129,"guid":"129.capabilities","index":18,"source":"capabilities"}],"is_active":true,"last_name":"Stricklin","nick_name":"Cliff","clerkships":[],"first_name":"Cliff","title_rank":9999,"updated_by":202,"law_schools":[{"id":2484,"meta":{"degree":"J.D.","honors":"","is_law_school":"1","graduation_date":"1991-01-01 00:00:00"},"order":1,"pin_order":null,"pin_expiration":null}],"middle_name":" ","name_suffix":"","recognitions":[{"title":"Lawyer of the Year","detail":"Colorado Law Week, 2024"},{"title":"Barrister’s Best White Collar Lawyer ","detail":"Colorado Law Week, October 2023"},{"title":"Litigator of the Week","detail":"The American Lawyer, December 2022"},{"title":"Band One, Litigation: White-Collar Crime \u0026 Government Investigations","detail":"Chambers USA, Colorado, 2012-Present"},{"title":"U.S. Attorney General’s Award for Exceptional Service","detail":"U.S. Department of Justice"},{"title":"U.S. Attorney General’s Award for Distinguished Service","detail":"U.S. Department of Justice"},{"title":"Colorado Super Lawyer ","detail":"Super Lawyers, 2011-Present"},{"title":"Named to “Alumni 150” as being one of the Baylor University’s 150 most remarkable graduates over the last 150 years","detail":"Baylor University"},{"title":"Best Overall Litigator","detail":"Law Week Colorado’s Best in Show, 2011"},{"title":"Winner of the PowerBook Legal Industry Leader Award","detail":"Denver Business Journal, 2007"},{"title":"Awarded the Federal Bureau of Investigation’s Director’s Award for Outstanding Criminal Investigation","detail":"FBI"}],"linked_in_url":"https://www.linkedin.com/in/cliff-stricklin-8603001a/","seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003eCliff Stricklin, a longtime Texas and Colorado based trial lawyer,\u0026nbsp;guides companies and executives through critical situations where litigation is a possible result. He advises clients in commercial disputes and defends them against government inquiries and private allegations of wrongdoing. He is a trusted advisor to C-suite executives and board members. He performs independent investigations on behalf of corporations and boards on subjects that include auditing, accounting, corporate governance and control, sexual harassment, and fraud. Should litigation become necessary, Cliff is an accomplished trial lawyer who has successfully tried and won some of the nation\u0026rsquo;s largest, most complex cases, including those involving Enron and Qwest.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eCliff aggressively defends corporations and executives in serious matters involving commercial litigation, antitrust, the False Claims Act, securities fraud and regulation (including cryptocurrency issues), industrial accidents, healthcare fraud, and environmental claims. He provides sophisticated advice and counseling in government\u0026nbsp;investigations and parallel civil suits.\u0026nbsp; His industry experience includes healthcare, finance \u0026amp; banking, fintech \u0026amp; cryptocurrency, oil \u0026amp; gas, pipelines, regulated utilities, telecommunications, civil engineering, web-based retail, biotech, medical devices, food production, faith-based organizations, real estate investments, recreation \u0026amp; hospitality, sports \u0026amp; entertainment, higher education, and mining.\u003c/p\u003e\n\u003cp\u003eHis public service positions have\u0026nbsp;included the roles of First Assistant U.S. Attorney for the District of Colorado, Special Assistant U.S. Attorney with the Enron Task Force in Houston and Dallas, Texas, State District Judge in Dallas, Texas, and Assistant U.S. Attorney in Plano and Dallas, Texas.\u0026nbsp;\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eAs a federal prosecutor, Cliff was one of the few attorneys to have won the two highest awards bestowed by the U.S. Department of Justice: the Attorney General\u0026rsquo;s Award for Exceptional Service for his work as a key member of the Enron Task Force, and the Attorney General\u0026rsquo;s Award for Distinguished Service for his work prosecuting the CEO of Qwest Communications for insider trading.\u003c/p\u003e\n\u003cp\u003eCliff\u0026rsquo;s courtroom experience also extends to the bench. During his distinguished term as a Texas state district judge in which he heard thousands of cases \u0026ndash; not a single case was overturned on appeal. Cliff also served as presiding judge in Dallas County, Texas, a position he used to implement a number of measures designed to bring openness and fairness to the justice system. \u003cem\u003eThe Dallas Morning News\u003c/em\u003e opined, \u0026ldquo;Mr. Stricklin totes impressive credentials. His work ethic, calm judicial temperament and judgment have earned him the respect of his robed colleagues \u0026hellip; Mr. Stricklin has performed admirably on the bench.\u0026rdquo;\u003c/p\u003e\n\u003cp\u003eAdditionally, Cliff created the White Collar Criminal Law program at the University of Colorado\u0026rsquo;s School of Law and served there as an adjunct professor for ten years. He also\u0026nbsp;taught trial advocacy at SMU Dedman School of Law in Dallas, Texas, and at the U.S. Department of Justice's National Advocacy Center in Columbia, South Carolina and Washington, D.C.\u0026nbsp;He is also Board Certified in Criminal Law by the Texas Board of Legal Specialization.\u003c/p\u003e","matters":["\u003cp\u003eRepresented the former CFO of a technology company in a federal grand jury investigation led by the U.S. Department of Justice\u0026rsquo;s Antitrust Division into alleged non-solicitation and \u0026ldquo;no poach\u0026rdquo; agreements. After a six-month long investigation, the government declined to prosecute and closed the case.\u003c/p\u003e","\u003cp\u003eRepresented a U.S. Olympic athletic organization in a multi-year investigation by the U.S. Department of Justice that included response to wide-ranging grand jury subpoenas. The matter was concluded when the Department declined to pursue charges.\u003c/p\u003e","\u003cp\u003eLed the defense of a large food manufacturing company and its majority shareholders against claims of breach of fiduciary duty and oppression brought by the minority shareholders in a two-week jury trial. The plaintiffs' lawsuit sought to dissolve the company and $2 billion in damages. After a two-week trial a jury found for the company and the majority shareholders and the plaintiffs took nothing. The jury foreperson was later quoted as saying, \"[Stricklin's] closing was amazing. [The defense team] did a great job. To us at least, the closing really pieced together a lot of the evidence we had questions about or thoughts about.\"\u003c/p\u003e","\u003cp\u003eRepresented the former CEO of a Fortune 250 healthcare company against first of their kind federal antitrust criminal charges involving \"no poach\" agreements brought by the U.S. Department of Justice's Antitrust Division. After a two-week trial a jury found the client not guilty of all charges.\u003c/p\u003e","\u003cp\u003eRepresented two banking executives in a grand jury investigation involving theft of trade secrets and computer crimes. After a six month investigation, case was dismissed by prosecutors.\u003c/p\u003e","\u003cp\u003eRepresented a midstream pipeline company in relation to largest pipeline spill of its kind. After a seven year investigation by the U.S. Department of Justice's Environmental and Natural Resources Division, the Environmental Protection Agency, and the North Dakota Department of Environmental Quality, all claims were resolved with a Clean Water Act Misdemeanor and Failure to Report felony. The plea did not include any individuals or restitution, did not require a corporate monitor or debarment, and allowed the fine to be paid out over five years.\u003c/p\u003e","\u003cp\u003eLed the defense of a large food manufacturing company in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;action under the False Claims Act matter brought by an individual U.S. Department of Agriculture Inspector valued at over $1b. The matter resulted in the government declining to intervene and the U.S. District Court dismissing the Inspector's lawsuit with prejudice and awarding client costs.\u003c/p\u003e","\u003cp\u003eRepresented a Fortune 250 healthcare company in a False Claims Act lawsuit brought by a whistleblower. The matter resulted in the U.S. District Court dismissing the complaint based on motions, and the relator did not re-file.\u003c/p\u003e","\u003cp\u003eRepresented a Fortune 250 healthcare company in an investigation by the U.S. Attorney\u0026rsquo;s Office and U.S. Health and Human Services in an investigation relating to the Anti-Kickback Statute and Stark Law. The matter resulted in no action being taken.\u003c/p\u003e","\u003cp\u003eRepresented a CEO of a large, publicly-traded tech company in an independent board member investigation. The matter resulted in no action being taken.\u003c/p\u003e","\u003cp\u003eRepresented a Chief Accounting Officer of a large civil engineering firm in an U.S. Securities and Exchange Commission investigation into financial reporting issues. The matter resulted in a \u0026ldquo;no action\u0026rdquo; letter provided by SEC.\u003c/p\u003e","\u003cp\u003eRepresented a corporate owner in an insider trading investigation brought by the U.S. Securities and Exchange Commission and U.S. Department of Justice. The result of the matter was the entry of a \u0026ldquo;no admit or deny\u0026rdquo; administrative order and no charges were brought.\u003c/p\u003e","\u003cp\u003eRepresented a national telecom provider in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act matter alleging fraud into the Federal Government E-Rate program. The matter resulted in the federal government declining to intervene and the case being dismissed.\u003c/p\u003e","\u003cp\u003eRepresented a large regional not-for-profit hospital in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act alleging Medicare and Medicaid fraud. The investigation lasted 18 months, with the results being a minimal settlement with the state Attorney General\u0026rsquo;s office, and the federal government declining to intervene.\u003c/p\u003e","\u003cp\u003eRepresented a large civil engineering firm in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act matter and a civil and criminal investigation by the Department of Energy and the Department of Justice. The matter resulted in the relator being dismissed, and there was a civil settlement with the DOJ that included a non-prosecution agreement.\u003c/p\u003e","\u003cp\u003eRepresented a large engineering and infrastructure corporation in a\u0026nbsp;\u003cem\u003equi tam\u003c/em\u003e\u0026nbsp;matter under the False Claims Act investigation by the U.S. Department of Justice and the U.S. Attorney's Office related to liquid petroleum gas installation issued during Hurricane Katrina recovery. The matter resulted in the government declining to intervene and the case being dismissed.\u003c/p\u003e","\u003cp\u003eRepresented a principal investor in a complicated investment plan investigated over a three-year period for securities fraud. The matter resulted in no charges being filed.\u003c/p\u003e","\u003cp\u003eRepresented a healthcare industry executive investigated for conspiracy to defraud the government and importation of unlicensed medical devices. The matter resulted in no jail time, no probation, a guilty plea to misprision and a $10k fine.\u003c/p\u003e","\u003cp\u003eLed the defense of Xcel Energy, Inc. and Public Service Company of Colorado against federal criminal charges arising out of an accident that killed five contractors at a hydroelectric power plant. The result of the matter after a five-week long trial involving complex OSHA regulations, was a jury returning not-guilty verdicts in favor of both companies.\u003c/p\u003e","\u003cp\u003eRepresented a large food production company in environmental litigation against the seller of property that failed to disclose the presence of asbestos. The result of the matter was a successful settlement for the client.\u003c/p\u003e","\u003cp\u003eRepresented Chemical \u0026amp; Metal Industries, Inc. in an appeal from a $3m fine and restitution award in the U.S. 5th Circuit Court of Appeals. The result of the matter was the restitution being vacated completely and the fine being reduced to $500k.\u003c/p\u003e","\u003cp\u003eRepresented an executive at a Fortune 500 healthcare company in a matter involving the Anti-Kickback Statute and the Stark Law. The matter resulted in no charges being brought.\u003c/p\u003e","\u003cp\u003eDefended a natural gas production and distribution company against a civil complaint filed by the Environmental Protection Agency. The result of the matter was a successful settlement for the client.\u003c/p\u003e","\u003cp\u003eDefended Eddie Bauer in an intellectual property case involving trademarked brand names. The matter resulted in a successful resolution for Eddie Bauer.\u003c/p\u003e","\u003cp\u003eRepresented a Nobel Prize winning scientist in an investigation by the U.S. Department of Commerce relating to climate change issues. The matter resulted in no charges being brought.\u003c/p\u003e"],"recognitions":[{"title":"Lawyer of the Year","detail":"Colorado Law Week, 2024"},{"title":"Barrister’s Best White Collar Lawyer ","detail":"Colorado Law Week, October 2023"},{"title":"Litigator of the Week","detail":"The American Lawyer, December 2022"},{"title":"Band One, Litigation: White-Collar Crime \u0026 Government Investigations","detail":"Chambers USA, Colorado, 2012-Present"},{"title":"U.S. Attorney General’s Award for Exceptional Service","detail":"U.S. Department of Justice"},{"title":"U.S. Attorney General’s Award for Distinguished Service","detail":"U.S. Department of Justice"},{"title":"Colorado Super Lawyer ","detail":"Super Lawyers, 2011-Present"},{"title":"Named to “Alumni 150” as being one of the Baylor University’s 150 most remarkable graduates over the last 150 years","detail":"Baylor University"},{"title":"Best Overall Litigator","detail":"Law Week Colorado’s Best in Show, 2011"},{"title":"Winner of the PowerBook Legal Industry Leader Award","detail":"Denver Business Journal, 2007"},{"title":"Awarded the Federal Bureau of Investigation’s Director’s Award for Outstanding Criminal Investigation","detail":"FBI"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":8785}]},"capability_group_id":2},"created_at":"2025-11-13T04:58:47.000Z","updated_at":"2025-11-13T04:58:47.000Z","searchable_text":"Stricklin{{ FIELD }}{:title=\u0026gt;\"Lawyer of the Year\", :detail=\u0026gt;\"Colorado Law Week, 2024\"}{{ FIELD }}{:title=\u0026gt;\"Barrister’s Best White Collar Lawyer \", :detail=\u0026gt;\"Colorado Law Week, October 2023\"}{{ FIELD }}{:title=\u0026gt;\"Litigator of the Week\", :detail=\u0026gt;\"The American Lawyer, December 2022\"}{{ FIELD }}{:title=\u0026gt;\"Band One, Litigation: White-Collar Crime \u0026amp; Government Investigations\", :detail=\u0026gt;\"Chambers USA, Colorado, 2012-Present\"}{{ FIELD }}{:title=\u0026gt;\"U.S. Attorney General’s Award for Exceptional Service\", :detail=\u0026gt;\"U.S. Department of Justice\"}{{ FIELD }}{:title=\u0026gt;\"U.S. Attorney General’s Award for Distinguished Service\", :detail=\u0026gt;\"U.S. Department of Justice\"}{{ FIELD }}{:title=\u0026gt;\"Colorado Super Lawyer \", :detail=\u0026gt;\"Super Lawyers, 2011-Present\"}{{ FIELD }}{:title=\u0026gt;\"Named to “Alumni 150” as being one of the Baylor University’s 150 most remarkable graduates over the last 150 years\", :detail=\u0026gt;\"Baylor University\"}{{ FIELD }}{:title=\u0026gt;\"Best Overall Litigator\", :detail=\u0026gt;\"Law Week Colorado’s Best in Show, 2011\"}{{ FIELD }}{:title=\u0026gt;\"Winner of the PowerBook Legal Industry Leader Award\", :detail=\u0026gt;\"Denver Business Journal, 2007\"}{{ FIELD }}{:title=\u0026gt;\"Awarded the Federal Bureau of Investigation’s Director’s Award for Outstanding Criminal Investigation\", :detail=\u0026gt;\"FBI\"}{{ FIELD }}Represented the former CFO of a technology company in a federal grand jury investigation led by the U.S. Department of Justice’s Antitrust Division into alleged non-solicitation and “no poach” agreements. After a six-month long investigation, the government declined to prosecute and closed the case.{{ FIELD }}Represented a U.S. Olympic athletic organization in a multi-year investigation by the U.S. Department of Justice that included response to wide-ranging grand jury subpoenas. The matter was concluded when the Department declined to pursue charges.{{ FIELD }}Led the defense of a large food manufacturing company and its majority shareholders against claims of breach of fiduciary duty and oppression brought by the minority shareholders in a two-week jury trial. The plaintiffs' lawsuit sought to dissolve the company and $2 billion in damages. After a two-week trial a jury found for the company and the majority shareholders and the plaintiffs took nothing. The jury foreperson was later quoted as saying, \"[Stricklin's] closing was amazing. [The defense team] did a great job. To us at least, the closing really pieced together a lot of the evidence we had questions about or thoughts about.\"{{ FIELD }}Represented the former CEO of a Fortune 250 healthcare company against first of their kind federal antitrust criminal charges involving \"no poach\" agreements brought by the U.S. Department of Justice's Antitrust Division. After a two-week trial a jury found the client not guilty of all charges.{{ FIELD }}Represented two banking executives in a grand jury investigation involving theft of trade secrets and computer crimes. After a six month investigation, case was dismissed by prosecutors.{{ FIELD }}Represented a midstream pipeline company in relation to largest pipeline spill of its kind. After a seven year investigation by the U.S. Department of Justice's Environmental and Natural Resources Division, the Environmental Protection Agency, and the North Dakota Department of Environmental Quality, all claims were resolved with a Clean Water Act Misdemeanor and Failure to Report felony. The plea did not include any individuals or restitution, did not require a corporate monitor or debarment, and allowed the fine to be paid out over five years.{{ FIELD }}Led the defense of a large food manufacturing company in a qui tam action under the False Claims Act matter brought by an individual U.S. Department of Agriculture Inspector valued at over $1b. The matter resulted in the government declining to intervene and the U.S. District Court dismissing the Inspector's lawsuit with prejudice and awarding client costs.{{ FIELD }}Represented a Fortune 250 healthcare company in a False Claims Act lawsuit brought by a whistleblower. The matter resulted in the U.S. District Court dismissing the complaint based on motions, and the relator did not re-file.{{ FIELD }}Represented a Fortune 250 healthcare company in an investigation by the U.S. Attorney’s Office and U.S. Health and Human Services in an investigation relating to the Anti-Kickback Statute and Stark Law. The matter resulted in no action being taken.{{ FIELD }}Represented a CEO of a large, publicly-traded tech company in an independent board member investigation. The matter resulted in no action being taken.{{ FIELD }}Represented a Chief Accounting Officer of a large civil engineering firm in an U.S. Securities and Exchange Commission investigation into financial reporting issues. The matter resulted in a “no action” letter provided by SEC.{{ FIELD }}Represented a corporate owner in an insider trading investigation brought by the U.S. Securities and Exchange Commission and U.S. Department of Justice. The result of the matter was the entry of a “no admit or deny” administrative order and no charges were brought.{{ FIELD }}Represented a national telecom provider in a qui tam matter under the False Claims Act matter alleging fraud into the Federal Government E-Rate program. The matter resulted in the federal government declining to intervene and the case being dismissed.{{ FIELD }}Represented a large regional not-for-profit hospital in a qui tam matter under the False Claims Act alleging Medicare and Medicaid fraud. The investigation lasted 18 months, with the results being a minimal settlement with the state Attorney General’s office, and the federal government declining to intervene.{{ FIELD }}Represented a large civil engineering firm in a qui tam matter under the False Claims Act matter and a civil and criminal investigation by the Department of Energy and the Department of Justice. The matter resulted in the relator being dismissed, and there was a civil settlement with the DOJ that included a non-prosecution agreement.{{ FIELD }}Represented a large engineering and infrastructure corporation in a qui tam matter under the False Claims Act investigation by the U.S. Department of Justice and the U.S. Attorney's Office related to liquid petroleum gas installation issued during Hurricane Katrina recovery. The matter resulted in the government declining to intervene and the case being dismissed.{{ FIELD }}Represented a principal investor in a complicated investment plan investigated over a three-year period for securities fraud. The matter resulted in no charges being filed.{{ FIELD }}Represented a healthcare industry executive investigated for conspiracy to defraud the government and importation of unlicensed medical devices. The matter resulted in no jail time, no probation, a guilty plea to misprision and a $10k fine.{{ FIELD }}Led the defense of Xcel Energy, Inc. and Public Service Company of Colorado against federal criminal charges arising out of an accident that killed five contractors at a hydroelectric power plant. The result of the matter after a five-week long trial involving complex OSHA regulations, was a jury returning not-guilty verdicts in favor of both companies.{{ FIELD }}Represented a large food production company in environmental litigation against the seller of property that failed to disclose the presence of asbestos. The result of the matter was a successful settlement for the client.{{ FIELD }}Represented Chemical \u0026amp; Metal Industries, Inc. in an appeal from a $3m fine and restitution award in the U.S. 5th Circuit Court of Appeals. The result of the matter was the restitution being vacated completely and the fine being reduced to $500k.{{ FIELD }}Represented an executive at a Fortune 500 healthcare company in a matter involving the Anti-Kickback Statute and the Stark Law. The matter resulted in no charges being brought.{{ FIELD }}Defended a natural gas production and distribution company against a civil complaint filed by the Environmental Protection Agency. The result of the matter was a successful settlement for the client.{{ FIELD }}Defended Eddie Bauer in an intellectual property case involving trademarked brand names. The matter resulted in a successful resolution for Eddie Bauer.{{ FIELD }}Represented a Nobel Prize winning scientist in an investigation by the U.S. Department of Commerce relating to climate change issues. The matter resulted in no charges being brought.{{ FIELD }}Cliff Stricklin, a longtime Texas and Colorado based trial lawyer, guides companies and executives through critical situations where litigation is a possible result. He advises clients in commercial disputes and defends them against government inquiries and private allegations of wrongdoing. He is a trusted advisor to C-suite executives and board members. He performs independent investigations on behalf of corporations and boards on subjects that include auditing, accounting, corporate governance and control, sexual harassment, and fraud. Should litigation become necessary, Cliff is an accomplished trial lawyer who has successfully tried and won some of the nation’s largest, most complex cases, including those involving Enron and Qwest.\nCliff aggressively defends corporations and executives in serious matters involving commercial litigation, antitrust, the False Claims Act, securities fraud and regulation (including cryptocurrency issues), industrial accidents, healthcare fraud, and environmental claims. He provides sophisticated advice and counseling in government investigations and parallel civil suits.  His industry experience includes healthcare, finance \u0026amp; banking, fintech \u0026amp; cryptocurrency, oil \u0026amp; gas, pipelines, regulated utilities, telecommunications, civil engineering, web-based retail, biotech, medical devices, food production, faith-based organizations, real estate investments, recreation \u0026amp; hospitality, sports \u0026amp; entertainment, higher education, and mining.\nHis public service positions have included the roles of First Assistant U.S. Attorney for the District of Colorado, Special Assistant U.S. Attorney with the Enron Task Force in Houston and Dallas, Texas, State District Judge in Dallas, Texas, and Assistant U.S. Attorney in Plano and Dallas, Texas.  \nAs a federal prosecutor, Cliff was one of the few attorneys to have won the two highest awards bestowed by the U.S. Department of Justice: the Attorney General’s Award for Exceptional Service for his work as a key member of the Enron Task Force, and the Attorney General’s Award for Distinguished Service for his work prosecuting the CEO of Qwest Communications for insider trading.\nCliff’s courtroom experience also extends to the bench. During his distinguished term as a Texas state district judge in which he heard thousands of cases – not a single case was overturned on appeal. Cliff also served as presiding judge in Dallas County, Texas, a position he used to implement a number of measures designed to bring openness and fairness to the justice system. The Dallas Morning News opined, “Mr. Stricklin totes impressive credentials. His work ethic, calm judicial temperament and judgment have earned him the respect of his robed colleagues … Mr. Stricklin has performed admirably on the bench.”\nAdditionally, Cliff created the White Collar Criminal Law program at the University of Colorado’s School of Law and served there as an adjunct professor for ten years. He also taught trial advocacy at SMU Dedman School of Law in Dallas, Texas, and at the U.S. Department of Justice's National Advocacy Center in Columbia, South Carolina and Washington, D.C. He is also Board Certified in Criminal Law by the Texas Board of Legal Specialization. Partner Lawyer of the Year Colorado Law Week, 2024 Barrister’s Best White Collar Lawyer  Colorado Law Week, October 2023 Litigator of the Week The American Lawyer, December 2022 Band One, Litigation: White-Collar Crime \u0026amp; Government Investigations Chambers USA, Colorado, 2012-Present U.S. Attorney General’s Award for Exceptional Service U.S. Department of Justice U.S. Attorney General’s Award for Distinguished Service U.S. Department of Justice Colorado Super Lawyer  Super Lawyers, 2011-Present Named to “Alumni 150” as being one of the Baylor University’s 150 most remarkable graduates over the last 150 years Baylor University Best Overall Litigator Law Week Colorado’s Best in Show, 2011 Winner of the PowerBook Legal Industry Leader Award Denver Business Journal, 2007 Awarded the Federal Bureau of Investigation’s Director’s Award for Outstanding Criminal Investigation FBI Baylor University Baylor University School of Law Washington and Lee University Washington and Lee University School of Law Colorado Texas American Bar Association, Criminal Justice Section, Rocky Mountain Region White Collar Crime Committee Chair Colorado Bar Association, Securities Section Urban Peak, a Homeless Youth Prevention \u0026amp; Assistance Organization, Board Member The Blue Bench, a Sexual Assault Prevention, Care \u0026amp; Advocacy Organization, Board Member Represented the former CFO of a technology company in a federal grand jury investigation led by the U.S. Department of Justice’s Antitrust Division into alleged non-solicitation and “no poach” agreements. After a six-month long investigation, the government declined to prosecute and closed the case. Represented a U.S. Olympic athletic organization in a multi-year investigation by the U.S. Department of Justice that included response to wide-ranging grand jury subpoenas. The matter was concluded when the Department declined to pursue charges. Led the defense of a large food manufacturing company and its majority shareholders against claims of breach of fiduciary duty and oppression brought by the minority shareholders in a two-week jury trial. The plaintiffs' lawsuit sought to dissolve the company and $2 billion in damages. After a two-week trial a jury found for the company and the majority shareholders and the plaintiffs took nothing. The jury foreperson was later quoted as saying, \"[Stricklin's] closing was amazing. [The defense team] did a great job. To us at least, the closing really pieced together a lot of the evidence we had questions about or thoughts about.\" Represented the former CEO of a Fortune 250 healthcare company against first of their kind federal antitrust criminal charges involving \"no poach\" agreements brought by the U.S. Department of Justice's Antitrust Division. After a two-week trial a jury found the client not guilty of all charges. Represented two banking executives in a grand jury investigation involving theft of trade secrets and computer crimes. After a six month investigation, case was dismissed by prosecutors. Represented a midstream pipeline company in relation to largest pipeline spill of its kind. After a seven year investigation by the U.S. Department of Justice's Environmental and Natural Resources Division, the Environmental Protection Agency, and the North Dakota Department of Environmental Quality, all claims were resolved with a Clean Water Act Misdemeanor and Failure to Report felony. The plea did not include any individuals or restitution, did not require a corporate monitor or debarment, and allowed the fine to be paid out over five years. Led the defense of a large food manufacturing company in a qui tam action under the False Claims Act matter brought by an individual U.S. Department of Agriculture Inspector valued at over $1b. The matter resulted in the government declining to intervene and the U.S. District Court dismissing the Inspector's lawsuit with prejudice and awarding client costs. Represented a Fortune 250 healthcare company in a False Claims Act lawsuit brought by a whistleblower. The matter resulted in the U.S. District Court dismissing the complaint based on motions, and the relator did not re-file. Represented a Fortune 250 healthcare company in an investigation by the U.S. Attorney’s Office and U.S. Health and Human Services in an investigation relating to the Anti-Kickback Statute and Stark Law. The matter resulted in no action being taken. Represented a CEO of a large, publicly-traded tech company in an independent board member investigation. The matter resulted in no action being taken. Represented a Chief Accounting Officer of a large civil engineering firm in an U.S. Securities and Exchange Commission investigation into financial reporting issues. The matter resulted in a “no action” letter provided by SEC. Represented a corporate owner in an insider trading investigation brought by the U.S. Securities and Exchange Commission and U.S. Department of Justice. The result of the matter was the entry of a “no admit or deny” administrative order and no charges were brought. Represented a national telecom provider in a qui tam matter under the False Claims Act matter alleging fraud into the Federal Government E-Rate program. The matter resulted in the federal government declining to intervene and the case being dismissed. Represented a large regional not-for-profit hospital in a qui tam matter under the False Claims Act alleging Medicare and Medicaid fraud. The investigation lasted 18 months, with the results being a minimal settlement with the state Attorney General’s office, and the federal government declining to intervene. Represented a large civil engineering firm in a qui tam matter under the False Claims Act matter and a civil and criminal investigation by the Department of Energy and the Department of Justice. The matter resulted in the relator being dismissed, and there was a civil settlement with the DOJ that included a non-prosecution agreement. Represented a large engineering and infrastructure corporation in a qui tam matter under the False Claims Act investigation by the U.S. Department of Justice and the U.S. Attorney's Office related to liquid petroleum gas installation issued during Hurricane Katrina recovery. The matter resulted in the government declining to intervene and the case being dismissed. Represented a principal investor in a complicated investment plan investigated over a three-year period for securities fraud. The matter resulted in no charges being filed. Represented a healthcare industry executive investigated for conspiracy to defraud the government and importation of unlicensed medical devices. The matter resulted in no jail time, no probation, a guilty plea to misprision and a $10k fine. Led the defense of Xcel Energy, Inc. and Public Service Company of Colorado against federal criminal charges arising out of an accident that killed five contractors at a hydroelectric power plant. The result of the matter after a five-week long trial involving complex OSHA regulations, was a jury returning not-guilty verdicts in favor of both companies. Represented a large food production company in environmental litigation against the seller of property that failed to disclose the presence of asbestos. The result of the matter was a successful settlement for the client. Represented Chemical \u0026amp; Metal Industries, Inc. in an appeal from a $3m fine and restitution award in the U.S. 5th Circuit Court of Appeals. The result of the matter was the restitution being vacated completely and the fine being reduced to $500k. Represented an executive at a Fortune 500 healthcare company in a matter involving the Anti-Kickback Statute and the Stark Law. The matter resulted in no charges being brought. Defended a natural gas production and distribution company against a civil complaint filed by the Environmental Protection Agency. The result of the matter was a successful settlement for the client. Defended Eddie Bauer in an intellectual property case involving trademarked brand names. The matter resulted in a successful resolution for Eddie Bauer. Represented a Nobel Prize winning scientist in an investigation by the U.S. Department of Commerce relating to climate change issues. The matter resulted in no charges being brought.","searchable_name":"Cliff Stricklin","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":427580,"version":1,"owner_type":"Person","owner_id":835,"payload":{"bio":"\u003cp\u003ePhyllis B. Sumner is a Partner in King \u0026amp; Spalding's Atlanta office and the firm's Chief Privacy Officer. She leads the firm's Data, Privacy and Security Practice and regularly counsels corporate boards, senior executives and other clients on cybersecurity preparedness, emergency response, remediation, compliance, internal and regulatory enforcement investigations, and data breach and privacy litigation.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eShe is a crisis manager and trial lawyer, who works with her clients' legal, compliance and business teams to strategize, manage and defend when significant privacy and security issues arise. She has assisted clients with their response to and management of hundreds of data security incidents and has represented clients defending against class actions and regulator investigations in some of the largest and most high-profile data security incidents.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eA nationwide top ranked Privacy \u0026amp; Data Security lawyer by \u003cem\u003eChambers USA\u003c/em\u003e, Phyllis\u0026rsquo; clients note \u0026ldquo;Her knowledge and expertise when it comes to ransomware incident response is second to none.\u0026rdquo; Phyllis is a recognized leader in the industry and consistently named to \u003cem\u003eCybersecurity Docket\u0026rsquo;s\u003c/em\u003e annual list of \u0026ldquo;best and brightest Incident Response attorneys,\u0026rdquo; including the 2023 and 2024 Global Incident Response Top 50. Three-time \u003cem\u003eLaw360\u003c/em\u003e MVP, she also has earned recognition as a \u003cem\u003eDaily Report\u0026rsquo;s\u003c/em\u003e \u0026ldquo;Distinguished Leader,\u0026rdquo; \u003cem\u003eAtlanta Magazine\u0026rsquo;s\u003c/em\u003e \"Women Making a Mark,\" and as one of \u003cem\u003eGlobal Data Review\u0026rsquo;s\u003c/em\u003e \u0026ldquo;Women in Data,\u0026rdquo; and she is listed in the \u003cem\u003eBest Lawyers of America\u003c/em\u003e for her high caliber work in privacy and data security law.\u003c/p\u003e\n\u003cp\u003eShe served as an Assistant U.S. Attorney for eight years, first for the Northern District of Illinois and then for the Northern District of Georgia, prosecuting high-profile cases such as Eric Rudolph, the Centennial Olympic Park bomber.\u003c/p\u003e","slug":"phyllis-sumner","email":"psumner@kslaw.com","phone":null,"matters":["\u003cp\u003eDefending\u0026nbsp;\u003cstrong\u003eCapital One\u0026nbsp;\u003c/strong\u003ein 2019 data breach.\u003c/p\u003e","\u003cp\u003eLed defense of\u0026nbsp;\u003cstrong\u003eEquifax Inc.\u0026nbsp;\u003c/strong\u003ein 2017 data breach.\u003c/p\u003e","\u003cp\u003eLed defense of\u003cstrong\u003e\u0026nbsp;The Home Depot\u003c/strong\u003e\u0026nbsp;in 2014 data breach consumer class action MDL.\u003c/p\u003e","\u003cp\u003eLed defense of\u003cstrong\u003e\u0026nbsp;Sears/Kmart\u003c/strong\u003e\u0026nbsp;in the 2014 data breach financial institution consolidated class 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Ranked Lawyer, Privacy \u0026 Data Security","detail":"Chambers USA, Nationwide (2022)"},{"title":"\"Her knowledge and expertise when it comes to ransomware incident response is second to none.\"","detail":"Chambers USA (2022)"},{"title":"Incident Response Top 30","detail":"Cybersecurity Docket (2016, 2018-2022)"},{"title":"She \"leads a top-notch team with deep experience in the full spectrum of data privacy.. in investigations and lawsuits.\"","detail":"Legal 500 (2022)"},{"title":"Recommended, Cyber Law","detail":"Legal 500 (2022-2022)"},{"title":"Recommended, General Commercial Disputes","detail":"Legal 500 (2020)"},{"title":"Named, Women in Data","detail":"Global Data Review (2019)"},{"title":"Named, Distinguished Leader","detail":"Daily Report (2017)"},{"title":"MVP, Cybersecurity \u0026 Privacy ","detail":"Law360 (2017)"},{"title":"MVP, Privacy","detail":"Law360 (2016)"},{"title":"Named, Women Making a Mark ","detail":"Atlanta Magazine (2016)"},{"title":"Super 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and Conviction in a Multimillion Dollar Fraud Case","detail":"Internal Revenue Service (2003)"}],"linked_in_url":null,"seodescription":null,"primary_title_id":15,"translated_fields":{"en":{"bio":"\u003cp\u003ePhyllis B. Sumner is a Partner in King \u0026amp; Spalding's Atlanta office and the firm's Chief Privacy Officer. She leads the firm's Data, Privacy and Security Practice and regularly counsels corporate boards, senior executives and other clients on cybersecurity preparedness, emergency response, remediation, compliance, internal and regulatory enforcement investigations, and data breach and privacy litigation.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eShe is a crisis manager and trial lawyer, who works with her clients' legal, compliance and business teams to strategize, manage and defend when significant privacy and security issues arise. She has assisted clients with their response to and management of hundreds of data security incidents and has represented clients defending against class actions and regulator investigations in some of the largest and most high-profile data security incidents.\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eA nationwide top ranked Privacy \u0026amp; Data Security lawyer by \u003cem\u003eChambers USA\u003c/em\u003e, Phyllis\u0026rsquo; clients note \u0026ldquo;Her knowledge and expertise when it comes to ransomware incident response is second to none.\u0026rdquo; Phyllis is a recognized leader in the industry and consistently named to \u003cem\u003eCybersecurity Docket\u0026rsquo;s\u003c/em\u003e annual list of \u0026ldquo;best and brightest Incident Response attorneys,\u0026rdquo; including the 2023 and 2024 Global Incident Response Top 50. Three-time \u003cem\u003eLaw360\u003c/em\u003e MVP, she also has earned recognition as a \u003cem\u003eDaily Report\u0026rsquo;s\u003c/em\u003e \u0026ldquo;Distinguished Leader,\u0026rdquo; \u003cem\u003eAtlanta Magazine\u0026rsquo;s\u003c/em\u003e \"Women Making a Mark,\" and as one of \u003cem\u003eGlobal Data Review\u0026rsquo;s\u003c/em\u003e \u0026ldquo;Women in Data,\u0026rdquo; and she is listed in the \u003cem\u003eBest Lawyers of America\u003c/em\u003e for her high caliber work in privacy and data security law.\u003c/p\u003e\n\u003cp\u003eShe served as an Assistant U.S. Attorney for eight years, first for the Northern District of Illinois and then for the Northern District of Georgia, prosecuting high-profile cases such as Eric Rudolph, the Centennial Olympic Park bomber.\u003c/p\u003e","matters":["\u003cp\u003eDefending\u0026nbsp;\u003cstrong\u003eCapital One\u0026nbsp;\u003c/strong\u003ein 2019 data breach.\u003c/p\u003e","\u003cp\u003eLed defense of\u0026nbsp;\u003cstrong\u003eEquifax Inc.\u0026nbsp;\u003c/strong\u003ein 2017 data breach.\u003c/p\u003e","\u003cp\u003eLed defense of\u003cstrong\u003e\u0026nbsp;The Home Depot\u003c/strong\u003e\u0026nbsp;in 2014 data breach consumer class action MDL.\u003c/p\u003e","\u003cp\u003eLed defense of\u003cstrong\u003e\u0026nbsp;Sears/Kmart\u003c/strong\u003e\u0026nbsp;in the 2014 data breach financial institution consolidated class actions.\u003c/p\u003e"],"recognitions":[{"title":"Top Ranked Lawyer, Privacy \u0026 Data Security","detail":"Chambers USA, Nationwide (2022)"},{"title":"\"Her knowledge and expertise when it comes to ransomware incident response is second to none.\"","detail":"Chambers USA (2022)"},{"title":"Incident Response Top 30","detail":"Cybersecurity Docket (2016, 2018-2022)"},{"title":"She \"leads a top-notch team with deep experience in the full spectrum of data privacy.. in investigations and lawsuits.\"","detail":"Legal 500 (2022)"},{"title":"Recommended, Cyber Law","detail":"Legal 500 (2022-2022)"},{"title":"Recommended, General Commercial Disputes","detail":"Legal 500 (2020)"},{"title":"Named, Women in Data","detail":"Global Data Review (2019)"},{"title":"Named, Distinguished Leader","detail":"Daily Report (2017)"},{"title":"MVP, Cybersecurity \u0026 Privacy ","detail":"Law360 (2017)"},{"title":"MVP, Privacy","detail":"Law360 (2016)"},{"title":"Named, Women Making a Mark ","detail":"Atlanta Magazine (2016)"},{"title":"Super Lawyer","detail":"Super Lawyers, Georgia (2013-2016)"},{"title":"MVP, Healthcare","detail":"Law360 (2014)"},{"title":"Director’s Award, Superior Performance in Trial of former Atlanta Mayor Bill Campbell ","detail":"Executive Office for the United States Attorneys (2008)"},{"title":"John Marshall Award, Prosecution of Olympic Park bomber Eric Rudolph","detail":"Attorney General (2006)"},{"title":"Director’s Award, Prosecution of Olympic Park bomber Eric Rudolph","detail":"Bureau of Alcohol, Tobacco, Firearms and Explosives (2006)"},{"title":"Award, Prosecution of Olympic Park bomber Eric Rudolph","detail":"Federal Bureau of Investigation (2006)"},{"title":"Honorary Special Agent Award, Trial and Conviction of former Atlanta Mayor Bill Campbell ","detail":"Internal Revenue Service (2006)"},{"title":"Director’s Award of Recognition, Trial and Conviction of a former Atlanta City Commissioner","detail":"Federal Bureau of Investigation (2003)"},{"title":"Honorary Special Agent Award, Trial and Conviction in a Multimillion Dollar Fraud Case","detail":"Internal Revenue Service (2003)"}]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":11805}]},"capability_group_id":2},"created_at":"2025-05-26T05:02:25.000Z","updated_at":"2025-05-26T05:02:25.000Z","searchable_text":"Sumner{{ FIELD }}{:title=\u0026gt;\"Top Ranked Lawyer, Privacy \u0026amp; Data Security\", :detail=\u0026gt;\"Chambers USA, Nationwide (2022)\"}{{ FIELD }}{:title=\u0026gt;\"\\\"Her knowledge and expertise when it comes to ransomware incident response is second to none.\\\"\", :detail=\u0026gt;\"Chambers USA (2022)\"}{{ FIELD }}{:title=\u0026gt;\"Incident Response Top 30\", :detail=\u0026gt;\"Cybersecurity Docket (2016, 2018-2022)\"}{{ FIELD }}{:title=\u0026gt;\"She \\\"leads a top-notch team with deep experience in the full spectrum of data privacy.. in investigations and lawsuits.\\\"\", :detail=\u0026gt;\"Legal 500 (2022)\"}{{ FIELD }}{:title=\u0026gt;\"Recommended, Cyber Law\", :detail=\u0026gt;\"Legal 500 (2022-2022)\"}{{ FIELD }}{:title=\u0026gt;\"Recommended, General Commercial Disputes\", :detail=\u0026gt;\"Legal 500 (2020)\"}{{ FIELD }}{:title=\u0026gt;\"Named, Women in Data\", :detail=\u0026gt;\"Global Data Review (2019)\"}{{ FIELD }}{:title=\u0026gt;\"Named, Distinguished Leader\", :detail=\u0026gt;\"Daily Report (2017)\"}{{ FIELD }}{:title=\u0026gt;\"MVP, Cybersecurity \u0026amp; Privacy \", :detail=\u0026gt;\"Law360 (2017)\"}{{ FIELD }}{:title=\u0026gt;\"MVP, Privacy\", :detail=\u0026gt;\"Law360 (2016)\"}{{ FIELD }}{:title=\u0026gt;\"Named, Women Making a Mark \", :detail=\u0026gt;\"Atlanta Magazine (2016)\"}{{ FIELD }}{:title=\u0026gt;\"Super Lawyer\", :detail=\u0026gt;\"Super Lawyers, Georgia (2013-2016)\"}{{ FIELD }}{:title=\u0026gt;\"MVP, Healthcare\", :detail=\u0026gt;\"Law360 (2014)\"}{{ FIELD }}{:title=\u0026gt;\"Director’s Award, Superior Performance in Trial of former Atlanta Mayor Bill Campbell \", :detail=\u0026gt;\"Executive Office for the United States Attorneys (2008)\"}{{ FIELD }}{:title=\u0026gt;\"John Marshall Award, Prosecution of Olympic Park bomber Eric Rudolph\", :detail=\u0026gt;\"Attorney General (2006)\"}{{ FIELD }}{:title=\u0026gt;\"Director’s Award, Prosecution of Olympic Park bomber Eric Rudolph\", :detail=\u0026gt;\"Bureau of Alcohol, Tobacco, Firearms and Explosives (2006)\"}{{ FIELD }}{:title=\u0026gt;\"Award, Prosecution of Olympic Park bomber Eric Rudolph\", :detail=\u0026gt;\"Federal Bureau of Investigation (2006)\"}{{ FIELD }}{:title=\u0026gt;\"Honorary Special Agent Award, Trial and Conviction of former Atlanta Mayor Bill Campbell \", :detail=\u0026gt;\"Internal Revenue Service (2006)\"}{{ FIELD }}{:title=\u0026gt;\"Director’s Award of Recognition, Trial and Conviction of a former Atlanta City Commissioner\", :detail=\u0026gt;\"Federal Bureau of Investigation (2003)\"}{{ FIELD }}{:title=\u0026gt;\"Honorary Special Agent Award, Trial and Conviction in a Multimillion Dollar Fraud Case\", :detail=\u0026gt;\"Internal Revenue Service (2003)\"}{{ FIELD }}Defending Capital One in 2019 data breach.{{ FIELD }}Led defense of Equifax Inc. in 2017 data breach.{{ FIELD }}Led defense of The Home Depot in 2014 data breach consumer class action MDL.{{ FIELD }}Led defense of Sears/Kmart in the 2014 data breach financial institution consolidated class actions.{{ FIELD }}Phyllis B. Sumner is a Partner in King \u0026amp; Spalding's Atlanta office and the firm's Chief Privacy Officer. She leads the firm's Data, Privacy and Security Practice and regularly counsels corporate boards, senior executives and other clients on cybersecurity preparedness, emergency response, remediation, compliance, internal and regulatory enforcement investigations, and data breach and privacy litigation.\nShe is a crisis manager and trial lawyer, who works with her clients' legal, compliance and business teams to strategize, manage and defend when significant privacy and security issues arise. She has assisted clients with their response to and management of hundreds of data security incidents and has represented clients defending against class actions and regulator investigations in some of the largest and most high-profile data security incidents. \nA nationwide top ranked Privacy \u0026amp; Data Security lawyer by Chambers USA, Phyllis’ clients note “Her knowledge and expertise when it comes to ransomware incident response is second to none.” Phyllis is a recognized leader in the industry and consistently named to Cybersecurity Docket’s annual list of “best and brightest Incident Response attorneys,” including the 2023 and 2024 Global Incident Response Top 50. Three-time Law360 MVP, she also has earned recognition as a Daily Report’s “Distinguished Leader,” Atlanta Magazine’s \"Women Making a Mark,\" and as one of Global Data Review’s “Women in Data,” and she is listed in the Best Lawyers of America for her high caliber work in privacy and data security law.\nShe served as an Assistant U.S. Attorney for eight years, first for the Northern District of Illinois and then for the Northern District of Georgia, prosecuting high-profile cases such as Eric Rudolph, the Centennial Olympic Park bomber. Phyllis B Sumner Partner Top Ranked Lawyer, Privacy \u0026amp; Data Security Chambers USA, Nationwide (2022) \"Her knowledge and expertise when it comes to ransomware incident response is second to none.\" Chambers USA (2022) Incident Response Top 30 Cybersecurity Docket (2016, 2018-2022) She \"leads a top-notch team with deep experience in the full spectrum of data privacy.. in investigations and lawsuits.\" Legal 500 (2022) Recommended, Cyber Law Legal 500 (2022-2022) Recommended, General Commercial Disputes Legal 500 (2020) Named, Women in Data Global Data Review (2019) Named, Distinguished Leader Daily Report (2017) MVP, Cybersecurity \u0026amp; Privacy  Law360 (2017) MVP, Privacy Law360 (2016) Named, Women Making a Mark  Atlanta Magazine (2016) Super Lawyer Super Lawyers, Georgia (2013-2016) MVP, Healthcare Law360 (2014) Director’s Award, Superior Performance in Trial of former Atlanta Mayor Bill Campbell  Executive Office for the United States Attorneys (2008) John Marshall Award, Prosecution of Olympic Park bomber Eric Rudolph Attorney General (2006) Director’s Award, Prosecution of Olympic Park bomber Eric Rudolph Bureau of Alcohol, Tobacco, Firearms and Explosives (2006) Award, Prosecution of Olympic Park bomber Eric Rudolph Federal Bureau of Investigation (2006) Honorary Special Agent Award, Trial and Conviction of former Atlanta Mayor Bill Campbell  Internal Revenue Service (2006) Director’s Award of Recognition, Trial and Conviction of a former Atlanta City Commissioner Federal Bureau of Investigation (2003) Honorary Special Agent Award, Trial and Conviction in a Multimillion Dollar Fraud Case Internal Revenue Service (2003) University of Georgia University of Georgia School of Law Vanderbilt University Vanderbilt University School of Law U.S. Court of Appeals for the Ninth Circuit U.S. Court of Appeals for the Eleventh Circuit U.S. District Court for the Northern District of Illinois U.S. District Court for the Middle District of Georgia U.S. District Court for the Northern District of Georgia Georgia Illinois Supreme Court of Georgia Defending Capital One in 2019 data breach. Led defense of Equifax Inc. in 2017 data breach. Led defense of The Home Depot in 2014 data breach consumer class action MDL. Led defense of Sears/Kmart in the 2014 data breach financial institution consolidated class actions.","searchable_name":"Phyllis B. Sumner","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":444724,"version":1,"owner_type":"Person","owner_id":6775,"payload":{"bio":"\u003cp\u003eAshley has a diverse practice focused on the representation of global companies, accounting firms, and individuals in government investigations and enforcement proceedings, internal investigations, and civil and criminal litigation.\u0026nbsp;As a CPA and former Big 4 auditor, Ashley draws from her experience to offer a unique perspective and solutions in matters involving complex financial fraud and possible violations of securities laws.\u0026nbsp;Ashley's practice also includes developing compliance programs and\u0026nbsp;performing pre-acquisition compliance due diligence.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAshley is a certified public accountant with more than 10 years of experience in technical accounting, financial reporting, and SEC reporting. Prior to becoming an attorney, Ashley was an auditor at Ernst \u0026amp; Young where she performed quarterly reviews and annual audits of public and private companies in various industries. Ashley also formerly managed SEC reporting for several public companies, and during law school, Ashley interned for SEC Commissioner Hester M. Peirce.\u003c/p\u003e\n\u003cp\u003eAshley routinely leverages her accounting and SEC reporting experience to advise clients in investigations and regulatory matters, litigation arising from complex financial fraud, and civil forfeiture actions.\u003c/p\u003e\n\u003cp\u003e\u0026nbsp;\u003c/p\u003e","slug":"ashley-smith","email":"asmith@kslaw.com","phone":null,"matters":null,"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":11,"guid":"11.capabilities","index":0,"source":"capabilities"},{"id":18,"guid":"18.capabilities","index":1,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":2,"source":"capabilities"},{"id":74,"guid":"74.capabilities","index":3,"source":"capabilities"},{"id":803,"guid":"803.smart_tags","index":4,"source":"smartTags"},{"id":780,"guid":"780.smart_tags","index":5,"source":"smartTags"},{"id":1188,"guid":"1188.smart_tags","index":6,"source":"smartTags"},{"id":1199,"guid":"1199.smart_tags","index":7,"source":"smartTags"},{"id":1241,"guid":"1241.smart_tags","index":8,"source":"smartTags"}],"is_active":true,"last_name":"Smith","nick_name":"Ashley","clerkships":[],"first_name":"Ashley","title_rank":9999,"updated_by":35,"law_schools":[{"id":2402,"meta":{"degree":"J.D.","honors":"Order of the Coif","is_law_school":1,"graduation_date":null},"order":0,"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\u003eAshley has a diverse practice focused on the representation of global companies, accounting firms, and individuals in government investigations and enforcement proceedings, internal investigations, and civil and criminal litigation.\u0026nbsp;As a CPA and former Big 4 auditor, Ashley draws from her experience to offer a unique perspective and solutions in matters involving complex financial fraud and possible violations of securities laws.\u0026nbsp;Ashley's practice also includes developing compliance programs and\u0026nbsp;performing pre-acquisition compliance due diligence.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eAshley is a certified public accountant with more than 10 years of experience in technical accounting, financial reporting, and SEC reporting. Prior to becoming an attorney, Ashley was an auditor at Ernst \u0026amp; Young where she performed quarterly reviews and annual audits of public and private companies in various industries. Ashley also formerly managed SEC reporting for several public companies, and during law school, Ashley interned for SEC Commissioner Hester M. Peirce.\u003c/p\u003e\n\u003cp\u003eAshley routinely leverages her accounting and SEC reporting experience to advise clients in investigations and regulatory matters, litigation arising from complex financial fraud, and civil forfeiture actions.\u003c/p\u003e\n\u003cp\u003e\u0026nbsp;\u003c/p\u003e"},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":11945}]},"capability_group_id":2},"created_at":"2026-01-02T16:02:27.000Z","updated_at":"2026-01-02T16:02:27.000Z","searchable_text":"Smith{{ FIELD }}Ashley has a diverse practice focused on the representation of global companies, accounting firms, and individuals in government investigations and enforcement proceedings, internal investigations, and civil and criminal litigation. As a CPA and former Big 4 auditor, Ashley draws from her experience to offer a unique perspective and solutions in matters involving complex financial fraud and possible violations of securities laws. Ashley's practice also includes developing compliance programs and performing pre-acquisition compliance due diligence.\nAshley is a certified public accountant with more than 10 years of experience in technical accounting, financial reporting, and SEC reporting. Prior to becoming an attorney, Ashley was an auditor at Ernst \u0026amp; Young where she performed quarterly reviews and annual audits of public and private companies in various industries. Ashley also formerly managed SEC reporting for several public companies, and during law school, Ashley interned for SEC Commissioner Hester M. Peirce.\nAshley routinely leverages her accounting and SEC reporting experience to advise clients in investigations and regulatory matters, litigation arising from complex financial fraud, and civil forfeiture actions.\n  Senior Associate University of the Pacific McGeorge School of Law Central District of California California","searchable_name":"Ashley Smith","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":432527,"version":1,"owner_type":"Person","owner_id":5764,"payload":{"bio":"\u003cp\u003eMatthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office. Matthew's practice focuses on the structuring, organization and operation of various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions\u0026nbsp;as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eMatthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office.\u0026nbsp;Matthew's practice primarily focuses on fund formation and offerings as well as representation of asset managers and institutional investors in the formation, organization and operating of various types of private equity or real estate investment funds. Matthew has experience advising investor clients in connection with SEC regulatory compliance matters, formation of both closed-end and open-end funds, portfolio and asset level joint ventures and other various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions, including acquisitions and dispositions, development, construction, leasing and financing as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients.\u003c/p\u003e","slug":"matthew-shevrin","email":"mshevrin@kslaw.com","phone":null,"matters":null,"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":33,"guid":"33.capabilities","index":0,"source":"capabilities"},{"id":36,"guid":"36.capabilities","index":1,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":2,"source":"capabilities"},{"id":75,"guid":"75.capabilities","index":3,"source":"capabilities"},{"id":78,"guid":"78.capabilities","index":4,"source":"capabilities"}],"is_active":true,"last_name":"Shevrin","nick_name":"Matthew","clerkships":[],"first_name":"Matthew","title_rank":9999,"updated_by":202,"law_schools":[{"id":659,"meta":{"degree":"J.D.","honors":"honors","is_law_school":"1","graduation_date":"2021-01-01 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/matthew-shevrin-61b68412a/","seodescription":null,"primary_title_id":2,"translated_fields":{"en":{"bio":"\u003cp\u003eMatthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office. Matthew's practice focuses on the structuring, organization and operation of various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions\u0026nbsp;as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients.[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eMatthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office.\u0026nbsp;Matthew's practice primarily focuses on fund formation and offerings as well as representation of asset managers and institutional investors in the formation, organization and operating of various types of private equity or real estate investment funds. Matthew has experience advising investor clients in connection with SEC regulatory compliance matters, formation of both closed-end and open-end funds, portfolio and asset level joint ventures and other various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions, including acquisitions and dispositions, development, construction, leasing and financing as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients.\u003c/p\u003e"},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":9087}]},"capability_group_id":1},"created_at":"2025-07-25T20:38:22.000Z","updated_at":"2025-07-25T20:38:22.000Z","searchable_text":"Shevrin{{ FIELD }}Matthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office. Matthew's practice focuses on the structuring, organization and operation of various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients.\nMatthew Shevrin is an associate in the Real Estate and Funds team in King \u0026amp; Spalding's Corporate, Finance and Investments practice group in the New York office. Matthew's practice primarily focuses on fund formation and offerings as well as representation of asset managers and institutional investors in the formation, organization and operating of various types of private equity or real estate investment funds. Matthew has experience advising investor clients in connection with SEC regulatory compliance matters, formation of both closed-end and open-end funds, portfolio and asset level joint ventures and other various types of private investment funds. Matthew also has experience in other aspects of commercial real estate transactions, including acquisitions and dispositions, development, construction, leasing and financing as well as regulatory experience including the divestiture process of registered investment advisor and broker-dealer clients. Associate Emory University Emory University School of Law Emory University Emory University School of Law New York","searchable_name":"Matthew Shevrin","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":447119,"version":1,"owner_type":"Person","owner_id":7352,"payload":{"bio":"\u003cp\u003e\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eSophie Sievert-Kloster advises global and domestic clients on complex commercial disputes and investigations in a range of jurisdictions, including state superior courts and the Federal Court of Australia. Her experience includes contentious regulatory matters, class action defense, and high-value, strategically significant commercial disputes in the technology, infrastructure, and financial services sectors.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eWith a background in European policy and law, Sophie brings an international, multilingual perspective to her practice and regularly considers cross-border risk and the implications of regulatory developments in other jurisdictions. Prior to joining King \u0026amp; Spalding, Sophie worked at another major global law firm and was a trainee at the Council of Europe in Strasbourg, France.\u0026nbsp;\u003c/p\u003e","slug":"sophie-sievert-kloster","email":"ssievert-kloster@kslaw.com","phone":null,"matters":["\u003cp\u003eAdvised an ASX-listed technology company on its acquisition of a provider of global trade management systems and solutions.\u003c/p\u003e","\u003cp\u003eAdvised on a number of multimillion dollar contractual disputes in the Supreme Court of New South Wales.\u003c/p\u003e","\u003cp\u003eAdvised on a contentious regulatory investigation by the Australian Securities and Investments Commission and subsequent civil penalty proceedings brought by the regulator.\u003c/p\u003e","\u003cp\u003eRepresented a state investment fund in major litigation concerning investments in a shopping center in Victoria, Australia.\u003c/p\u003e","\u003cp\u003eDefended an Australian Stock Exchange (ASX)-listed entity in a high-profile shareholder class action brought in the Supreme Court of Victoria.\u003c/p\u003e"],"taggings":{"tags":[],"meta_tags":[]},"expertise":[{"id":81,"guid":"81.capabilities","index":0,"source":"capabilities"},{"id":3,"guid":"3.capabilities","index":1,"source":"capabilities"},{"id":5,"guid":"5.capabilities","index":2,"source":"capabilities"},{"id":27,"guid":"27.capabilities","index":3,"source":"capabilities"},{"id":121,"guid":"121.capabilities","index":4,"source":"capabilities"},{"id":14,"guid":"14.capabilities","index":5,"source":"capabilities"},{"id":15,"guid":"15.capabilities","index":6,"source":"capabilities"},{"id":20,"guid":"20.capabilities","index":7,"source":"capabilities"},{"id":11,"guid":"11.capabilities","index":8,"source":"capabilities"},{"id":74,"guid":"74.capabilities","index":9,"source":"capabilities"},{"id":127,"guid":"127.capabilities","index":10,"source":"capabilities"},{"id":107,"guid":"107.capabilities","index":11,"source":"capabilities"},{"id":118,"guid":"118.capabilities","index":12,"source":"capabilities"}],"is_active":true,"last_name":"Sievert-Kloster","nick_name":"Sophie","clerkships":[],"first_name":"Sophie","title_rank":9999,"updated_by":202,"law_schools":[],"middle_name":" ","name_suffix":"","recognitions":null,"linked_in_url":null,"seodescription":null,"primary_title_id":2,"translated_fields":{"en":{"bio":"\u003cp\u003e\u0026nbsp;\u003c/p\u003e\n\u003cp\u003eSophie Sievert-Kloster advises global and domestic clients on complex commercial disputes and investigations in a range of jurisdictions, including state superior courts and the Federal Court of Australia. Her experience includes contentious regulatory matters, class action defense, and high-value, strategically significant commercial disputes in the technology, infrastructure, and financial services sectors.\u0026nbsp;[[--readmore--]]\u003c/p\u003e\n\u003cp\u003eWith a background in European policy and law, Sophie brings an international, multilingual perspective to her practice and regularly considers cross-border risk and the implications of regulatory developments in other jurisdictions. Prior to joining King \u0026amp; Spalding, Sophie worked at another major global law firm and was a trainee at the Council of Europe in Strasbourg, France.\u0026nbsp;\u003c/p\u003e","matters":["\u003cp\u003eAdvised an ASX-listed technology company on its acquisition of a provider of global trade management systems and solutions.\u003c/p\u003e","\u003cp\u003eAdvised on a number of multimillion dollar contractual disputes in the Supreme Court of New South Wales.\u003c/p\u003e","\u003cp\u003eAdvised on a contentious regulatory investigation by the Australian Securities and Investments Commission and subsequent civil penalty proceedings brought by the regulator.\u003c/p\u003e","\u003cp\u003eRepresented a state investment fund in major litigation concerning investments in a shopping center in Victoria, Australia.\u003c/p\u003e","\u003cp\u003eDefended an Australian Stock Exchange (ASX)-listed entity in a high-profile shareholder class action brought in the Supreme Court of Victoria.\u003c/p\u003e"]},"locales":["en"]},"secondary_title_id":null,"upload_assignments":{"headshot":[{"id":13428}]},"capability_group_id":2},"created_at":"2026-03-30T14:24:16.000Z","updated_at":"2026-03-30T14:24:16.000Z","searchable_text":"Sievert-Kloster{{ FIELD }}Advised an ASX-listed technology company on its acquisition of a provider of global trade management systems and solutions.{{ FIELD }}Advised on a number of multimillion dollar contractual disputes in the Supreme Court of New South Wales.{{ FIELD }}Advised on a contentious regulatory investigation by the Australian Securities and Investments Commission and subsequent civil penalty proceedings brought by the regulator.{{ FIELD }}Represented a state investment fund in major litigation concerning investments in a shopping center in Victoria, Australia.{{ FIELD }}Defended an Australian Stock Exchange (ASX)-listed entity in a high-profile shareholder class action brought in the Supreme Court of Victoria.{{ FIELD }} \nSophie Sievert-Kloster advises global and domestic clients on complex commercial disputes and investigations in a range of jurisdictions, including state superior courts and the Federal Court of Australia. Her experience includes contentious regulatory matters, class action defense, and high-value, strategically significant commercial disputes in the technology, infrastructure, and financial services sectors. \nWith a background in European policy and law, Sophie brings an international, multilingual perspective to her practice and regularly considers cross-border risk and the implications of regulatory developments in other jurisdictions. Prior to joining King \u0026amp; Spalding, Sophie worked at another major global law firm and was a trainee at the Council of Europe in Strasbourg, France.  Associate University of New South Wales  Supreme Court of New South Wales Law Society of New South Wales Advised an ASX-listed technology company on its acquisition of a provider of global trade management systems and solutions. Advised on a number of multimillion dollar contractual disputes in the Supreme Court of New South Wales. Advised on a contentious regulatory investigation by the Australian Securities and Investments Commission and subsequent civil penalty proceedings brought by the regulator. Represented a state investment fund in major litigation concerning investments in a shopping center in Victoria, Australia. Defended an Australian Stock Exchange (ASX)-listed entity in a high-profile shareholder class action brought in the Supreme Court of Victoria.","searchable_name":"Sophie Sievert-Kloster","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}]}}