Summer 2013 - Volume V - Issue 3

Author Profile

Samuel Rosenthal, author of Bloomberg BNA’s Director and Officer Liability in Financial Institutions: A Deskbook 

Samuel Rosenthal

POSITION: Chair, Government Investigation and White Collar Practice Group, Patton Boggs, LLP. Resident in Washington, D.C., and New York City.

FAVORITE PART OF THE JOB: Many of my clients are individuals facing serious enforcement or even criminal investigations. Being able to successfully avoid governmental action is truly a life changing event for them. The same is true of many of the financial institutions I represent. Certain actions by regulators or prosecutors can mean the death knell for the business. Being able to avoid that result means not only that officers and directors will likely avoid governmental action, but the entity itself will avoid closure.

MOST MEANINGFUL PROJECT: Acting as Associate Independent Counsel to the U.S. Senate was clearly an exhilarating experience, as was representing the United States while serving as an Assistant U.S. Attorney. The most “meaningful” experience, however, was my first case which I “first chaired” just out of law school: representing a group of mental patients living in a group home in New Jersey, who were being “zoned” out of existing by the town. When I met with the group, and asked if they had any questions, one resident raised her hand and asked: “could they please send someone older.” I successfully challenged the constitutionality of the zoning ordinance, allowing the residents to remain in their home. Needless to say, in the many years since then, having more gray hair has avoided similar questions.

ENJOYS: Watching my children surpass my life ambitions.