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Litigation Risk Management Series: Managing Risk Through Internal Investigations



Tuesday, February 7, 2012
Product Code - LGN07
Speaker(s): Morgan J. Miller, Paul Hastings LLP; Thomas P. O'Brien, Paul Hastings LLP; Thomas A. Zaccaro, Paul Hastings LLP
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The importance of conducting internal investigations has become a paramount concern to many public companies in the current enforcement environment. The SEC's new whistleblower rules provide substantial financial incentives to employees and other purported whistleblowers to report suspected misconduct to government authorities, thereby increasing the exposure of public companies to the risk of state and federal investigations. In addition, while engaging in increasingly aggressive enforcement activities, both the SEC and the DOJ continue to encourage the cooperation of companies to reduce or eliminate the risk of prosecution.

This presentation will include former SEC Enforcement attorneys and DOJ prosecutors who will discuss best practices in conducting internal investigations, addressing Dodd-Frank whistleblower claims, and cooperating with government investigations to obtain maximum cooperation credit.

Educational Objectives:

• Find out about current trends for internal investigations
• Learn how to find and maintain the proper scope of investigation
• Understand collecting evidence and maintaining privilege
• Understand conducting cross-border investigations
• Learn to manage regulatory scrutiny during investigations

Program Level: Intermediate

Morgan J. Miller, Paul Hastings LLP; Thomas P. O'Brien, Paul Hastings LLP; Thomas A. Zaccaro, Paul Hastings LLP

Morgan J. Miller, Partner / Paul Hastings LLP
Morgan Miller is a partner in the Litigation practice of Paul Hastings LLP and a co-chair of the firm's Global Compliance and Disputes practice. He is a former SEC enforcement lawyer whose practice focuses on securities enforcement and compliance matters, internal investigations and securities litigation. Mr. Miller frequently represents corporations and executives in investigations, administrative proceedings and lawsuits instituted by the SEC, Justice Department, self-regulatory organizations and the stock exchanges. Mr. Miller also advises companies on regulatory compliance matters around the world, including FCPA and anti-corruption investigations and risk assessments, and developing and overseeing anti-corruption compliance programs.

Mr. Miller has represented public and private companies in a broad range of industries, including among others, Chevron Corporation, Capital One Financial Corporation, GlaxoSmithKline, UBS Investment Bank, PETCO Animal Supplies, Semtech Corporation, VeriSign, Ligand Pharmaceuticals, Dura Pharmaceuticals, and NorthWestern Corporation.

Prior to joining Paul Hastings, Mr. Miller served as counsel in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, DC. During his tenure with the SEC, Mr. Miller investigated and prosecuted numerous cases involving allegations of accounting fraud, insider trading, corruption, market manipulation, offering fraud and broker-dealer practices. Mr. Miller is a frequent panelist and author on securities enforcement topics.

Mr. Miller earned a B.A. from the University of California, San Diego. He received his J.D. (with honors) from the University of San Diego School of Law in 1999, where he was a member of the Order of the Coif and received three American Jurisprudence Awards. During law school, Mr. Miller served as extern to the Honorable Don Work, California Court of Appeal.

Thomas P. O’Brien, Partner / Paul Hastings LLP
Thomas P. O'Brien is a litigation partner with Paul Hastings in Los Angeles, where he leads the firm’s White Collar practice on the west coast. He has vast experience as a trial attorney, having tried 85 cases, both criminal and civil, in federal and state court. His current caseload includes representing clients in federal and state investigations, corporate compliance, FCPA matters, and high-stakes civil litigation.

Prior to joining Paul Hastings in October 2009, Mr. O’Brien served as the United States Attorney for the Central District of California. Mr. O’Brien was responsible for all federal criminal and tax investigations and prosecutions, as well as all civil matters involving the United States, in the largest federal district in the country. In addition, Mr. O’Brien sat on the President’s Corporate Fraud Task Force, and was Chair of the Attorney General’s Advisory Committee’s Cyber/Intellectual Property Subcommittee. Mr. O’Brien was the first sitting United States Attorney in 25 years to conduct a criminal jury trial, and the first in memory to try a civil case.

During his tenure as U.S. Attorney, Mr. O’Brien’s office filed the most felony cases in the history of the Central District, and increased complex case filings by 50 percent. Under his leadership, his office filed the most trademark protection cases nation-wide; the nation’s first cyber-bullying prosecution; the largest tax restitution case in IRS history ($86 million); the second-most corporate fraud cases and the second-most health care fraud cases of all the 93 United States Attorney’s Offices; the largest gang RICO case in the nation (147 defendants); the first gang RICO case in Santa Barbara; one of the largest counterfeiting cases in United States Secret Service history; and the country’s first Internet peer-to-peer child predator sweep. The office also filed the largest RICO case ever against a motorcycle gang, and in another national first, seized the gang’s trademark. In his Civil Division, the caseload increased dramatically, and his office recovered the largest government procurement fraud fine in history.

Prior to being selected as the United States Attorney, Mr. O’Brien served for more than two years as the Chief of the Criminal Division. In that capacity, Mr. O’Brien oversaw several high-profile espionage cases; helped bring the first treason case in the nation since World War II; supervised several high-profile public corruption and civil rights cases; charged several cyber crime statutes which had not been charged in the nation; and executed some of the largest fraud cases in the United States. He was the only Criminal Chief in many years who tried cases during his tenure.

Before serving as Criminal Chief, he was a line Assistant United States Attorney for four years before rising to Chief of the Civil Rights Section, where he personally investigated and prosecuted numerous cases, including federal hate crimes, human trafficking violations, and police misconduct cases. In that capacity, Mr. O’Brien was the first prosecutor in the nation - and to date, the only prosecutor - to utilize civil rights statutes to charge gang members with murder. He also was one of the few federal prosecutors in the country to successfully utilize human trafficking statutes to prosecute pimps who trafficked young girls as prostitutes.

Over the past several years, Mr. O'Brien has been publicly recognized for outstanding performance on numerous occasions, and has received awards from many different organizations, including the Los Angeles City Council; Los Angeles Police Department; Federal Bureau of Investigation; Drug Enforcement Administration; United States Secret Service; Internal Revenue Service; United States Marshal's Office; Santa Barbara District Attorney's Office; United States Postal Service; United States Postal Inspectors and Office of Inspector General; Bureau of Alcohol, Tobacco, Firearms and Explosives; and the Los Angeles City Attorney.

Mr. O'Brien received the 2007 Anti-Defamation League Pacific Southwest Region’s Helene and Joseph Sherwood Prize for combating hate. In October 2007, he received the Attorney General’s Award for Exceptional Service – the highest award given by the Attorney General – for his role in investigating and prosecuting street gang members who committed hate-crime murders of African-Americans in Northeast Los Angeles. Mr. O’Brien also received the 2008 Immigration and Customs Enforcement Assistant Secretary’s Award for Excellence in Law Enforcement.

He has accumulated 2,000 flight hours as a Radar Intercept Officer in the F-14 “Tomcat” fighter aircraft, and is a graduate of the U.S. Navy Fighter Weapons (“Top Gun”) School. Mr. O’Brien earned a J.D. from the University of San Diego School of Law (Associate Editor, San Diego Law Review; cum laude) in 1993 and a B.S. from the U.S. Naval Academy in 1981. He is a member of the State Bar of California.

Thomas A. Zaccaro, Partner / Paul Hastings LLP
Thomas A. Zaccaro is a partner in the Litigation practice at Paul Hastings and the chair of the Los Angeles Litigation department. His practice encompasses complex civil, commercial and criminal litigation in state and federal courts. In particular, Mr. Zaccaro represents corporations and their officers and directors in securities litigation, class action litigation, and SEC and criminal investigations. He also represents individuals in white-collar criminal cases, grand jury investigations and congressional hearings. He has argued cases before the U.S. Courts of Appeals for the 2nd and 9th circuits and numerous federal district courts.
Prior to joining Paul Hastings, Mr. Zaccaro was the Chief Trial Counsel of the Securities and Exchange Commission's Pacific Regional Office, where he was responsible for the management and supervision of all enforcement litigation and administrative proceedings conducted within the Pacific region, and acted as lead counsel in numerous enforcement actions involving violations of the federal securities laws, including financial fraud, accounting fraud, insider trading, offering fraud, Ponzi schemes and sales of unregistered securities. Mr. Zaccaro also previously served as an assistant U.S. Attorney for the Southern District of New York (July 1988-November 1994) and as a Trial Attorney at the Department of Justice, Organized Crime and Racketeering Section (November 1994-November 1995).

Mr. Zaccaro earned a B.A. from Georgetown University (magna cum laude) in 1981 and a J.D. from the Boston College Law School (cum laude) in 1984 where he served as executive editor of the Boston College International and Comparative Law Review. Mr. Zaccaro is a member of the California, Connecticut and District of Columbia Bars, and is admitted to practice before the U.S. Supreme Court, the U.S. Courts of Appeals for the 2nd, 9th and 10th circuits and numerous federal district courts. Mr. Zaccaro has been recognized as a Southern California "Super Lawyer" in securities litigation by Los Angeles magazine and as a leading lawyer in Euromoney's Benchmark: America's Leading Litigation Firms and Attorneys (2011).

This program is CLE-credit eligible.

If you have further questions regarding a specific state or how to file for CLE credit, please contact Bloomberg BNA customer service at 800-372-1033 and ask to speak to the Legal and Business CLE Accreditation Coordinator.

Hardship Policy
Bloomberg BNA offers a hardship policy for any attorney earning less than $30,000 per year. If an attorney wishes to take advantage of this option, he or she must do so in writing and also provide proof of hardship. If approval is granted, a discount of 50% off the full registration price of the program will be awarded.

Questions
For more information about Mandatory or Minimum Continuing Legal Education (MCLE) requirements, visit the American Bar Association website at http://www.abanet.org/cle/mandatory.html.

• Bloomberg BNA Subscriber - OnDemand format $199
• Non-Subscriber - OnDemand format $249
• CD recording of program $199 (Subscriber and Non-Subscriber)

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