FINRA Dispute Resolution Seeks Arbitrators

The Financial Industry Regulatory Authority’s Office of Dispute Resolution (FINRA) is seeking to expand the depth and diversity of its arbitrator roster and are currently looking for arbitrators to serve. Their goal is to diversify the roster of arbitrators who resolve securities disputes at FINRA. FINRA believes that NAFUSA members would make excellent arbitrators.

Nicole Haynes, Associate Director, Recruitment and Training writes:

Serving as a FINRA arbitrator is a great way for your members to give back to their communities, by lending their professional knowledge and experience to the arbitration process. Industry knowledge is NOT required, and there is absolutely no cost associated with applying. Applying, training and being on the roster are all free and we cover travel costs to and from arbitrations. Other benefits include free CLE for training and honoraria ($600 per day) when attending a hearing.

 

To apply to become a FINRA arbitrator, candidates must complete the online application at http://www.finra.org/arbitration-and-mediation/apply-now. Interested candidates may email us at Arbrecruitment@finra.org if they have any questions or to request additional information.

Lee Bentley Joins Bradley

Lee Bentley

Lee Bentley recently joined the law firm of Bradley Arant Boult & Cummings, LLP (“Bradley”), as a partner in the firm’s Tampa, Florida office.  Lee will be working with NAFUSA’s current membership chair and past president, Jack Selden, in Bradley’s Government Enforcement and Investigations practice group.

Lee served as the United States Attorney for the Middle District of Florida for approximately four years.  His service as Interim, and then Acting, United States Attorney began in June 2013.  Subsequently, in June 2014, he was nominated for the position by President Obama, upon the recommendation of both Florida’s Democratic and Republican Senator.  Lee’s nomination was confirmed by a unanimous United States Senate on December 16, 2014.  He resigned as United States Attorney on March 10, 2017.

As United States Attorney, Lee oversaw approximately 125 attorneys, with offices in Tampa, Orlando, Jacksonville, Ft. Myers, and Ocala.  The Middle District of Florida is the second-most populous judicial district in the country, and covers 35 of Florida’s 67 counties.

Throughout Lee’s tenure, the Middle District of Florida consistently ranked in the top three in the nation in the number of criminal trials.  Among other things, Lee oversaw the successful prosecution of a publicly-traded Fortune 500 managed care company and five of its top executives for their role in reporting inflated expenditures in order to increase Medicaid reimbursements.  Moreover, Lee supervised the successful investigation and indictment of a sitting Congresswoman, as well as the investigation immediately following the mass shooting at the Pulse nightclub in Orlando.

One of Lee’s priorities as United States Attorney was to increase recoveries under the False Claims Act.  The Middle District of Florida often led the nation in the number of qui tam or whistleblower lawsuits filed, and during the last fiscal year of Lee’s tenure, the office collected over $800 million in False Claims Act settlements.  Among other things, the office reached what was then the largest settlement ever under the federal Stark Law and also reached a $350 million settlement with a durable medical equipment company.

Prior to becoming United States Attorney, Lee served as an Assistant United States Attorney in the Middle District of Florida for approximately 13 years, which included stints as both the Criminal Chief and the First Assistant United States Attorney.  As an Assistant United States Attorney, Lee tried approximately 40 federal criminal trials to verdict.

Lee also previously served as an Attorney-Advisor in the Department’s Office of Legal Counsel and as a Special Assistant United States Attorney in the Southern District of Florida (Miami).

In addition to federal service, Lee was a partner at the law firm of Hogan & Hartson (now Hogan Lovells), where he practiced in the firm’s Washington, DC office for over 10 years.  At that firm, Lee secured a summary judgment in a major contractual dispute with potential exposure to the client of over $250 million.  He also successful tried several civil cases, including a patent infringement case in which he secured a judgment of approximately $20 million.

Lee was a judicial clerk for Justice Lewis F. Powell, Jr., at the United States Supreme Court, and for Judge Clement F. Haynsworth, Jr., on the United States Court of Appeals for the Fourth Circuit.  Prior to that, Lee graduated from the University of Virginia School of Law, where he was a notes editor on the Law review and Order of the Coif.  

At Bradley, Lee will be focused primarily on white collar criminal defense, the defense of False Claims Act cases, and internal investigations.  

Zachary Terwilliger Named Interim U.S. Attorney in ED VA

Zachary Terwilliger

The Washington Post reported on May 24, 2018, that Attorney General Jeff Sessions has named Zachary Terwilliger — a career federal prosecutor who most recently worked as chief of staff to Deputy Attorney General Rod J. Rosenstein — to serve as the interim U.S. attorney in the Eastern District of Virginia.

According to The Post:

The move will put Terwilliger, 37, at the center of some of the Justice Department’s most high-profile cases, including the investigation of the WikiLeaks organization and its founder, Julian Assange, and the discussions of what to do with the two British members of an Islamic State cell believed to be responsible for the brutal murders of Western hostages.

Paul Manafort, former campaign chairman for President Trump, is also scheduled to go on trial in the Eastern District this summer, and while that case is being led by special counsel Robert S. Mueller III, a prosecutor from the U.S. attorney’s office has been assigned to the team.

The appointment will allow Terwilliger to run the office without Senate confirmation on an interim basis. He can serve in the post for 120 days, and after that would have to be appointed by the chief judge in the district.

“Zach Terwilliger has a strong record that any prosecutor would be proud of,” Sessions said. “He rose through the ranks in the Eastern District of Virginia, from summer intern to Assistant United States Attorney who made a name for himself successfully prosecuting MS-13 members, Bloods members and firearm offenders, and putting them behind bars. He has excelled both in the courtroom and now in some of the highest leadership roles at the Department of Justice. I am confident that he will continue to serve with distinction in this important new role.”

The U.S. attorney’s office in the Eastern District of Virginia — which has more than 120 prosecutors and lawyers working in Alexandria, Richmond, Norfolk and Newport News — is a familiar place to Terwilliger. He began his career as an assistant U.S. attorney there in 2008, and spent much of the next 10 years prosecuting fraud, violent crime and human trafficking cases. He served as counselor to a previous U.S. attorney, Neil MacBride.

NAFUSA member MacBride told the Post: “Zach is a prosecutor’s prosecutor and will have immediate credibility with his colleagues, the bench, the defense bar and his local law enforcement partners. He’s principled, smart, fair and even tempered. Having spent the last year on some of the toughest issues facing DOJ, he’s got the independence and experience to lead this critical office at a critical time.”

Zachary Terwilliger is the son of NAFUSA member, George J. Terwilliger III, former deputy attorney general and U.S. Attorney (Vermont 1986-1991).

 

John Wood Named Top Lawyer at US Chamber of Commerce

John Wood, CLO and GC of the U.S. Chamber of Commerce.

The U.S. Chamber of Commerce announced on May 10, 2018, that NAFUSA life member John Wood has been named its chief legal officer and general counsel, beginning June 4.

Wood served as the United States Attorney for the Western District of Missouri (2007-2009). He also served as a counselor to the U.S. Attorney General and as a deputy associate attorney general at Main Justice. Wood has also served as the chief of staff for the U.S. Department of Homeland Security and as a deputy general counsel in the White House Office of Management and Budget under President George W. Bush. Wood clerked for former Fourth Circuit Judge J. Michael Luttig and for Justice Clarence Thomas on the U.S. Supreme Court.He also served as an aide to U.S. Senator John C. Danforth. He has been a partner at the Washington office of Hughes Hubbard the past nine years.

Wood graduated magna cum laude from Harvard Law School in 1996, and was the articles chair of the Harvard Law Review. John is married to Julie Myers Wood, the C.E.O. of NAFUSA sponsor Guidepost Solutions.

Sally Yates Rejoins King & Spalding

On May 8, 2018, NAFUSA sponsor King & Spalding announced that former Acting Attorney General and Deputy Attorney General Sally Yates has returned to the firm as a partner on the Special Matters & Government Investigations team. Her global practice will be based primarily in Washington, DC and Atlanta. Yates joined NAFUSA in 2017.

Yates, a 27-year veteran of the Department of Justice, rose through the ranks of Assistant United States Attorneys to become U.S. Attorney in Atlanta, Deputy Attorney General, and Acting Attorney General. As Deputy AG from January 2015 through 2017, she served as the second-highest ranking official in the department and was responsible for managing the day-to-day operations of DOJ and its 113,000 employees. She oversaw all prosecutorial, litigation and national security components as well as all U.S. Attorneys’ offices and DOJ law enforcement agencies, including the FBI, DEA, ATF, U.S. Marshals Service and the Bureau of Prisons. She is currently a Distinguished Lecturer at Georgetown University Law Center focused on public policy.

“Sally Yates is a lawyer’s lawyer,” said Robert D. Hays, Jr. chairman of King & Spalding. “Her return continues a longstanding K&S tradition of launching young lawyers into public service and welcoming them back into private practice. Adding Sally is a remarkable development for our firm and our clients.”

While Deputy Attorney General, Yates was responsible for overseeing the Department’s most significant matters and for crafting and implementing initiatives focused on many of DOJ’s strategic priorities, including corporate fraud, cybercrime, gang violence, civil rights and financial crime. Additionally, she led DOJ’s criminal justice reform initiatives during her tenure and implemented substantial prison reform measures.

Prior to assuming her duties as Deputy Attorney General, Yates served for five years as the first female U.S. Attorney for the Northern District of Georgia. She immediately became a leader in the Department, serving as the vice chair of the Attorney General’s Advisory Committee. An accomplished trial lawyer, she prosecuted a wide variety of complex cases, specializing in white collar matters. She tried numerous high-profile public corruption cases, including one against the former mayor of Atlanta, and was lead prosecutor in the case against Olympic bomber Eric Rudolph.

Yates said, “I’m excited to get back to practicing law with the firm where I started my career. Not only was K&S my first legal home, it has an unparalleled tradition of legal excellence, uncompromising ethics, and commitment to civic engagement and public service. I’m looking forward to building upon the firm’s independent investigations practice for public and private organizations and boards, and helping organizational leadership navigate complex and sensitive challenges. And I’m excited to be practicing with such an exceptional group of lawyers and staff who truly work as a team to do the very best legal work.”

Before entering government service, Yates worked as a King & Spalding civil litigation associate from 1986 to 1989. She earned her BA from the University of Georgia and her JD, magna cum laude, from the University of Georgia School of Law.

Yates joins NAFUSA board member John Richter at K&S and is the sixth former federal prosecutor to join firm’s Special Matters & Government Investigations team in the past year.

About King & Spalding
Celebrating more than 130 years of service, King & Spalding is an international law firm that represents a broad array of clients, including half of the Fortune Global 100, with 1,000 lawyers in 20 offices in the United States, Europe, the Middle East and Asia. The firm has handled matters in over 160 countries on six continents and is consistently recognized for the results it obtains, uncompromising commitment to quality, and dedication to understanding the business and culture of its clients. More information is available at www.kslaw.com.

Bill Mulligan Dies, 81- NAFUSA’s First President

William J. “Bill” Mulligan, one of the co-founders of NAFUSA, and its first president (1980-81), died on May 1, 2018. Bill graduated from Marquette Law School (60′). He was an Assistant United States Attorney, 1960-1965; United States Attorney for the Eastern District of Wisconsin, 1974-1978; Assistant Professor, Trial Practice and Civil Procedure, Marquette Law School, 1978-1980; State Bar of Wisconsin, Chairman of Board of Governors, 1983-1984

In 2014 Bill received the Lifetime Achievement Award from Marquette Law School. He was a shareholder at Davis & Kuelthau, where he was a litigation attorney, and co-chair of the Environmental Team (Of Counsel). Bill’s additional work in the legal community included: Eastern District of Wisconsin Bar Association, Co-Founder and President, 2003-2004; Wisconsin Lawyers Mutual Insurance Company, Chairman of the Board, 1988-2014; Treasurer, 1986-1988, Member of Board of Directors, 1985-Present.

He is survived by his children Kathleen (Brent Kidwell) Mulligan, Thomas (Cassandra Schug) Mulligan, Sara (Craig) Mauermann and Margaret Mulligan, and nine grandchildren.

As is our custom, at the request of NAFUSA an American flag was flown over Main Justice, placed in a commemorative box and presented to his family as a token of the regard with which Bill was held by his colleagues. Bill was honored at a ceremony at the Federal Courthouse in Milwaukee on May 18, 2018. Retired federal judge (and former AUSA) Charles N. Clevert delivered remarks and presented to Bill’s family with the United States flag that had flown over Main Justice in Bill’s honor at the request of NAFUSA.  Judge Clevert noted that Bill served wilth great distinction as United States Attorney and was known as a man of great integrity and commitment to the legal community in Wisconsin, both in his government work and private practice.  In moving remarks, Judge Clevert choked up when he noted that Bill forever changed Clevert’s life when Bill hired Clevert as the first African-American AUSA in Wisconsin history, putting Clevert on a path that led to him becoming Wisconsin’s first African American federal judge. It is a testament to Bill that he never sought personal recognition for his work in advancing and mentoring many young lawyers in Milwaukee’s legal community.

The presentation was attended by members of Bill’s family, current and former members of the Milwaukee U.S. Attorney’s Office, including current U.S. Attorney Matthew D. Krueger, and other lawyers in the community. NAFUSA was represented by life member Steve Biskupic (ED Wisconsin 2002-2009). In the photograph below, Judge Clevert (left) presents the flag to two of Bill’s daughters, Sara Mauermann (center) and Margaret Mulligan (right). Bill will be greatly missed by the legal community if Milwaukee.

Machen Negotiates Panasonic’s $280M FCPA Penalties

Ronald Machen Jr./Photo by Diego M. Radzinschi/THE NATIONAL LAW JOURNAL.

As reported today by The National Law Journal, NAFUSA board member Ronald Machen served as lead counsel for Panasonic Avionics to resolve alleged violations of the Foreign Corrupt Practices Act, a negotiation that resulted Monday in settlements with the U.S. Justice Department and U.S. Securities and Exchange Commission totaling $280 million. Panasonic Avionics, a supplier of in-flight entertainment and communications systems, agreed to pay a $137.4 million penalty as part of a deferred prosecution agreement with the Justice Department.

As reported by the NLG, the Justice Department penalty represented a 20 percent discount off the low end of the U.S. sentencing guideline range. Prosecutors said they gave Panasonic the reduction for its cooperation with the investigation and for the steps the company took to address the misconduct, such as replacing several senior executives who were involved in the misconduct.

The company separately agreed to pay $143 million in disgorgement to the SEC. According to the SEC settlement, the company created an “office of compliance and ethics” led by a new chief compliance officer.

The settlement terms also require Panasonic to retain an independent compliance monitor for at least two years and continue cooperating with the Justice Department.

Click here to read the full article from The National Law Journal

Machen served as the United States Attorney for the District of Columbia (2010-2015). He is currently a partner Wilmer Hale.

Fitzgerald Joins Kelley on Comey Legal Team

Patrick Fitzgerald (Jose M. Osorio/Chicago Tribune)

NAFUSA member Patrick Fitzgerald said in a statement released Tuesday evening that he is on the legal team representing former FBI Director James Comey. He said he joined the representation in May 2017.

Daniel Richman, a Columbia Law School professor, and NAFUSA member David Kelley, a former U.S. attorney for the Southern District of New York (2003-2005), are also on Comey’s legal team, according to a Comey associate.

 

David Kelley

Fitzgerald served as the U.S. Attorney for the Northern District of Illinois (2001-2012) and is now a partner in Chicago of the law firm of Skadden, Arps, Slate, Meagher and Flom. Kelley is a partner in the New York office of Dechert LLP.

NAFUSA Board Meets in St Pete Beach

The annual Spring NAFUSA board meeting was held in St. Pete Beach, Florida, on April 14, 2018. President Hal Hardin announced that the annual conference will be held at the Westin in Nashville on October 24-26, 2018, and will feature United States Senator Doug Jones as the keynote speaker on Friday evening. Doug is a NAFUSA member and stepped down as president-elect of NAFUSA to run for the Senate vacancy created when Jeff Sessions became the Attorney General. 

(Photo by Jeronimo Nisa/The Decatur Daily via AP)

Hardin stated that the conference planning committee is working on the program, which will begin with an opening evening reception at the offices of conference sponsor Butler Snow on Wednesday, October 24. The Thursday and Friday morning CLEs will include a panel on the opioid epidemic organized by NAFUSA member and former DEA Administrator Chuck Rosenberg. Other panels are being planned on the Supreme Court, international criminal investigations, and ethics. Thursday evening will feature class reunion dinners. Registration for the conference will open in July. 

Executive Director Rich Rossman reported that organization is financially sound, mainly thanks to the support of our sponsors. We would not be able to hold our annual conferences without our sponsors. The collection of dues is lagging, however. Deputy Director Lisa Rafferty stated that several members have failed to pay their dues by the February 28 deadline. Reminders have been sent.

The board discussed our ongoing tradition of requesting an American flag be flown over Main Justice in honor of a former United States Attorney who has died. The flag is then presented to the family as a token of the regard with which he or she was held by their colleagues. The board expressed its gratitude to EOUSA for its cooperation and noted the increasing cooperation of current U.S. Attorneys in reaching out to NAFUSA when they learn of the passing of one of their predecessors.

There was an extensive discussion of the mission of NAFUSA and when, if ever, it might be appropriate for NAFUSA to take public positions on issues. The mission statement (see About NAFUSA at nafusa.org) states NAFUSA was founded in 1979 “to promote, defend and further the integrity and the preservation of the litigating authority and the independence of the office of the United States Attorney.” In these complicated times, the board mused that we may be the last remaining bipartisan and nonpartisan organization still functioning in the country. The only time NAFUSA has taken a public position as an organization (at least in the memory of those present) dealt with the firing of U.S. Attorneys in the Bush ll Administration, which went to the heart of our mission statement. Since then the board established a super majority rule: the board will not approve a resolution taking a public position without a 75% vote of the voting members of the board. Requests have been made to the board regarding issues surrounding the Mueller investigation and related issues. No action was taken.

As for the newsletter and website, the consensus of the board was that an emphasis should remain with factual member news, with limits on opinion pieces. Our members, of course, are free to express their individual views. Our conferences will continue, however, to vent relevant policy topics, and we will continue to strike a balance and attempt to have all responsible viewpoints recognized.

Rich Rossman has expressed a desire for sometime in stepping down as executive director. The search committee reported that several prospects have been approached as to their interest. Unfortunately, the committee has been unable to identify a potential successor. Rich has agreed to continue for the short run while the search continues. The board expressed its appreciation by awarding both Rich and Lisa a bonus for their efforts. 

President Elect Terry Flynn announced the 2019 conference will be held in San Francisco at the Westin St. Francis. Vice President Paul Coggins announced he is leaning towards Dallas in 2020. On a final note, when we learned that President H.W. Bush’s brother had died and that Board Member Catherine Hanaway was leaving the board meeting to attend the funeral, President Hardin proposed a letter of condolence which was signed by all present and presented by Hanaway to the Bush family. Sadly, Barbara Bush died a few days later. 

As is our custom, NAFUSA board members paid their own travel and hotel expenses to St. Pete. A good time was had by all.