Attention:
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Guiding Your Organization Through Corporate Investigations


Level: Intermediate
Runtime: 59 minutes
Recorded Date: October 18, 2023
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Agenda

  • Setting your organization up for the best outcome
  • Determining the goals and the scope
  • Identifying stakeholders & audience
  • Identifying the investigators
  • Keys to an effective review
  • Lessons from the trenches
  • Lessons learned
  • What regulators wished you knew
  • Conclusion
Runtime: 1 hour
Recorded: October 18, 2023

For NY - Difficulty Level: For both newly admitted & experienced attorneys
For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

When your organization goes through an internal investigation, this is the moment of truth for your legal and compliance program and where the work really happens. It is critical that, as soon as allegations come to light, the company decides decisions are made about whether to investigate, who should direct and conduct the investigation, the goals and scope of an investigation, and whether a report will be issued, and how to best prepare the company for a potential investigation by a government agency. This session will set forth a framework of best practices and key considerations for effective internal investigations, including the need for disclosure to and coordination with auditors, regulators, and others.

This program was recorded as part of Corporate Counsel's Women, Influence, and Power in Law Conference held on October 18, 2023.

Provided By

Women, Influence & Power in Law Conference
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Panelists

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Yasmine Yoon

VP - Compliance & Ethics
Capital One

Yoon started her legal career at Crowell & Moring in Washington D.C. Among the notable cases that she handled at the firm, Yoon represented Rodney Edward Brown, who was convicted of first-degree and second-degree assault and of use of a handgun in the commission of a crime of violence. See Brown v. State, 957 A.2d 654 (Md. Ct. Special Appeals 2008). Upon Yoon and her co-counsel’s arguments, the Maryland Court of Special Appeals ruled that the state, at trial, had failed to prove that a handgun was used in the offense, as the ballistics and forensic evidence only established that a firearm had been used, reversing that conviction. See id. at 674.


Between 2010 and 2016, Yoon worked as an Assistant United States Attorney for the Eastern District of Virginia under U.S. Attorney Neil McBride, focusing primarily on the prosecution of financial crimes. Notably, Yoon was part of a team of attorneys prosecuting the “Mega Conspiracy”, a joint criminal action seeking to commit copyright infringement and money laundering, causing over $500 billion in loss. See United States v. Batato, 833 F.3d 413 (4th Cir. 2016).

Yoon has been working as in-house counsel for the past four years, starting with working for the University of Virginia and then, for the past year, for Capital One.

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Brooke Nelson

Chief Compliance Officer
Verily Life Sciences

Brooke Nelson is an experienced compliance, ethics and integrity leader, legal officer, and strategic advisor. She is currently Chief Compliance Officer and leads the global Trust & Compliance program at Verily, an Alphabet company advancing precision health with clinical, scientific, and tech expertise.

Prior to Verily, Brooke served in both the Compliance and Law groups at Amgen, most recently as Executive Director of Compliance, where she was responsible for compliance governance, including the Corporate Responsibility & Compliance Committee of the Board of Directors, overseeing the global compliance investigations, monitoring and hotline programs, and managing compliance with Amgen’s Corporate Integrity Agreement. She was also an attorney at Paramount Studios and O’Melveny & Myers. Brooke received her J.D. and her bachelor’s degree from the University of Washington and is admitted to the State Bar of California.

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Caroline Mehta

Parter
Zuckerman Spaeder LLP

Caroline Judge Mehta rejoined Zuckerman Spaeder after serving as General Counsel and Chief Legal Officer for a rapidly growing global technology company that provides AI-backed pairing solutions for contact centers in the telecom, insurance, banking, and health care verticals. During her time in-house, she provided strategic risk management across over 20 countries during a period of rapid growth and restructured the legal team to address compliance and data privacy needs. She also oversaw all regulatory, compliance, and corporate law matters.

In private practice, Caroline represents individuals, business organizations, and other entities in criminal, regulatory, and administrative investigations. She defends clients in complex criminal cases involving mail and wire fraud, tax, health care fraud, insider trading, securities fraud, antitrust, and the Foreign Corrupt Practices Act (FCPA). She has handled both trial and appellate proceedings in federal and state courts. Caroline also counsels the firm’s clients on complex matters of legal ethics and professional responsibility.

Caroline has extensive experience in conducting sensitive investigations and providing compliance counseling, including on matters involving allegations of sexual misconduct and violations of Title VII and Title IX. She has advocated on behalf of victims in investigations and litigation surrounding child sexual abuse and the adequacy of institutional responses to abuse.

She is an active participant in firm leadership and the broader legal community, and is a founding member of the firm’s Diversity, Equity and Inclusion Committee.

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Kristin Graham Koehler

Office Managing Partner
Sidley

KRISTIN GRAHAM KOEHLER is the managing partner of the Washington, D.C. office, a member of the firm’s Executive Committee, and a global co-leader of the firm’s White Collar: Government Litigation and Investigations group. She is consistently recognized as a leading white collar lawyer.

Kristin has handled numerous United States Department of Justice (DOJ) criminal investigations involving healthcare fraud, procurement fraud, public corruption, antitrust, securities fraud and violations of the Foreign Corrupt Practices Act (FCPA). She also has significant experience representing clients in DOJ civil qui tam investigations, state attorney general investigations and congressional investigations, and she has negotiated numerous Corporate Integrity Agreements with the HHS Office of Inspector General (OIG). Kristin routinely conducts sensitive internal investigations on behalf of corporations and individuals. She also regularly counsels clients on the creation, enhancement, implementation and assessment of compliance programs. Kristin has participated in jury trials in a number of federal district courts and appeals in a number of appellate courts, including the U.S. Supreme Court.

Kristin’s work representing clients has earned her acknowledgment in numerous industry publications, including Chambers Global, Chambers USA, Benchmark Litigation, Washingtonian magazine, LMG Life Sciences, and Best Lawyers.

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Shelby Cuomo

Associate General Counsel, Special Investigations
Meta Platforms, Inc.

Shelby J. Cuomo is Associate General Counsel on the Special Investigations team at Meta Platforms, Inc. (“Meta”), the global social media and technology company that owns Facebook and Instagram. Prior to joining Meta, Shelby was an associate at the international law firm Ropes & Gray LLP in their Litigation and Enforcement practice group. In these roles, Shelby has represented clients in a variety of investigations, including governmental inquiries by the U.S. Department of Justice, U.S. Securities and Exchange Commission, and international and state authorities, as well as internal legal matters. Shelby is currently based in New York City. Shelby earned her J.D. from The George Washington University Law School. Before law school, Shelby earned Bachelor’s degrees in Political Science and Classics from Union College in Schenectady, New York.

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Susan Bozorgi

Partner
Bozorgi Law, PLLC

Susan has been passionately defending clients since 1994. She is known for her persistence and perseverance.

She started her career as an assistant public defender. In that capacity, she tried multiple jury trials as lead counsel defending individuals charged with offenses ranging from misdemeanors to first degree murder.

Twenty years ago, Susan joined forces with Yery Marrero to form Marrero Bozorgi PL (now Bozorgi Law PLLC), a firm dedicated to representing individuals and corporations under investigation or charged in a criminal or regulatory matter, with an emphasis on white-collar offenses. Yery left the firm in 2019 when she was elected as a Circuit Court Judge for the Eleventh Judicial Circuit for the State of Florida.

Susan has extensive experience in federal court, where she has been lead counsel and defended clients charged by the United States Government with offenses including Medicare fraud, pharmaceutical fraud, wire fraud, mail fraud, mortgage fraud, bank fraud, security fraud, money laundering, drug conspiracies, aggravated identity theft crimes, tax offenses, Hobbs act violations, and firearm offenses. She has litigated in both state and federal courts throughout the country and has tried over 75 jury trials.

She has experience representing professionals from all business sectors, including lawyers, doctors, executives, and politicians who are facing either the possibility of a criminal charge or have been formally charged. Susan also has experience representing clients before the Securities and Exchange Commission and other regulatory bodies.

Susan prides herself on being a defense attorney through and through. She has never prosecuted a person. Rather, by choosing to focus strictly on providing a powerful defense, Susan has acquired deep experience that would have been impossible to develop if she had divided her time and energy. She made a commitment to represent those either threatened with being criminally accused or who are facing criminal accusations and has devoted her career to it. Susan believes the passion, perspective and track record of success that she brings to each case reflect that singular purpose.

In the last decade, Susan has increased her leadership role in the criminal defense field. She is currently the Global Vice-Chair and Co-Chair of the Florida Chapter for the Women White Collar Defense Association. She previously has held leadership roles on the board for the National Association of Criminal Defense Lawyers (NACDL) and as co-chair of the Defense Function Committee for the Criminal Justice Section of the American Bar Association. She has also committed herself to supporting women in the field as founder of the Women Criminal Defense Attorneys Blog (WCDA Blog).

Susan is individually ranked in both Chambers USA and in Best Lawyers for White-Collar Crime and Government Investigations. The Firm is also ranked in Chambers USA for its work in the field. Susan is also AV-Rated by Martindale-Hubbell.

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Molly Levinson

CEO
The Levinson Group

Molly Levinson is CEO of The Levinson Group (TLG). Her decades of practice in media and public affairs includes experience on both sides of high-stakes news: developing hundreds of comprehensive communications campaigns to connect targeted audiences to compelling stories, and leading political coverage at major media outlets. Levinson leads communications efforts alongside legal teams advising Boards of Directors, Fortune 50 companies, well-known leaders and executives navigating complex social issues, legal disputes and transactions, and sensitive investigations. She regularly leads efforts to prepare individuals for high stakes media interviews, Government inquiries, and Congressional testimony. Levinson is an advisor to the U.S. Women’s National Team players association and an architect of the team’s equal pay effort. PR News called Levinson a “known problem solver” when the organization named her “Crisis Manager of the Year” in 2017.

An Emmy-award winning producer, Levinson was a journalist and news executive in the years before she launched a communications firm. She served as Political Director at both CNN and CBS, where she directed all political reporting and served as a primary liaison with national political parties, campaigns, local elected officials, Capitol Hill and the White House for every election from 2002 to 2012.


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