Matthew Moses Partner, White Collar, Investigations, Securities Litigation & Compliance, FCPA & Anti–Corruption
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Matthew Moses is a partner in Orrick’s New York Office and a member of the White Collar, Investigations, and Compliance Group.
Matt has substantial experience representing financial institutions, corporations, and individuals in connection with government and internal investigations involving the Foreign Corrupt Practices Act (FCPA), the Bank Secrecy Act (BSA) and U.S. anti-money laundering (AML) regulations, U.S. economic sanctions administered by the Office of Foreign Assets Control (OFAC), and fraud-related laws and regulations. He also counsels clients on government-imposed compliance obligations, advising on designing, enhancing, and implementing compliance policies and procedures, conducting regulatory diligence for investments and other deals, and obtaining licenses or other guidance when appropriate.
Ellen Murphy has represented individuals and organizations in a variety of civil, criminal and regulatory matters.
Her practice focuses on white-collar defense and complex civil litigation. Her cases have involved allegations of public corruption, securities fraud, mail and wire fraud, SEC investigations, securities class actions and complex commercial litigations.
Ellen has significant experience litigating almost every aspect of civil and criminal cases and also has extensive experience handling mediations and all aspects of arbitrations. Ellen has tried criminal cases to verdict and arbitrations to final decisions. She has represented both individuals and corporations under investigation by the Department of Justice, the Securities and Exchange Commission, the District Attorney’s Office, the Commodity Futures Trading Commission, and FINRA. She also has represented both companies conducting internal investigations and individuals in connection with those investigations.
Anne Murray, Partner in the Washington, D.C., office, is a member of the White Collar & Corporate Investigations practice group. Anne focuses on anti-corruption compliance and defends
companies and individuals in government investigations.
Anne frequently represents companies and individuals in matters before the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC). She regularly conducts internal investigations and risk assessments; performs pre-acquisition anti-corruption diligence; counsels companies about compliance issues; and develops corporate compliance programs, policies, procedures and training models.
Anne has extensive experience in anti-corruption matters involving the Foreign Corrupt Practices Act (FCPA). She has represented multinational corporations across the aerospace, communications, defense, financial services, health care, hospitality and tourism, mining, oil and gas, technology, security, and shipping industries. She also has led investigations and compliance reviews throughout the Americas, Europe, Asia, Africa and Australia with on-the-ground experience in more than 16 countries including Brazil, China and Mexico.
Prior to joining Orrick, Anne was an attorney in the Washington,
D.C., office of Norton Rose Fulbright where she was a member of the
white collar and government investigations group. She also previously
worked for White & Case LLP as an attorney in the white collar and
commercial litigation groups. While there, she represented a
number of companies and foreign sovereigns in complex civil litigation
involving fraud, tort and contract claims.
Washington, D.C.; New York
Washington, D.C.; New York
Daniel Nathan uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators.
With a combined 25 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country’s leading regulatory and enforcement authorities, Dan is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators. He is also active in advising and representing companies who issue or transact in cryptocurrency and is co-chair of Orrick's Blockchain and Cryptocurrency group.
Daniel’s intimate knowledge of broker-dealer regulation provides clients facing SEC or FINRA examinations and enforcement investigations with experienced counsel related to broker-dealer supervisory procedures, sales practices, anti-money laundering, ETF regulation, product disclosure and supervision, and securities and broker registration. His extensive experience includes the JOBS Act and Dodd-Frank Act, and he has led extensive efforts to help foreign banks establish programs for complying with the Volcker Rule. He also represents individuals and entities facing investigations by the CFTC or derivatives exchanges.
Previously, Daniel served as the Vice President and Regional Enforcement Director of the Financial Industry Regulatory Authority (FINRA), where he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including actions and sweeps involving mutual fund breakpoints, structured products sales practices and supervision, and private placement due diligence and disclosure.
In his 12 years at the SEC, Daniel served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading (including the investigation that resulted in the seminal case US v. O’Hagan), market manipulation, financial fraud and accounting misconduct. In nine years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. In that role, he supervised significant actions regarding market manipulation, trade practices, commodity trading advisor practices and foreign exchange dealer practices.
An oft-quoted authority on complex financial, legal and business issues, Daniel is frequently sought after to speak and write on the important issues confronting financial institutions, including broker-dealer sales practices and compliance, complex products, ETFs, the Volcker Rule, derivatives, cryptocurrency, cybersecurity, and anti-money laundering. He is Co-chair of the ABA SEC Enforcement Subcommittee and a member of the Editorial Advisory Board of the Journal of Investment Compliance.
David's practice focuses on white-collar criminal defense, government investigations, complex civil litigation, regulatory enforcement matters, and internal investigations. David has particular experience representing companies and individuals in the health care, medical device, technology, and financial sectors.
David has represented clients in matters involving state and federal false claims acts, the Anti-Kickback Statute, federal securities laws, the Foreign Corrupt Practices Act, anti-money laundering laws, and the Food, Drug, & Cosmetic Act. He has played a lead role in high-stakes federal investigations, civil and criminal matters. His litigation experience includes oral argument before the First Circuit, briefing in federal and state courts, and deposing senior government officials.
David served as Global Investigations & Compliance Counsel (on secondment) at one of the world's leading medical device companies, immediately following one of the industry's largest mergers. In this role he led multiple internal investigations and helped the company develop a new investigations and corporate compliance function.
David previously worked as an Assistant Attorney General in the Appeals Division of the Massachusetts Attorney General’s Office (as part of a one-year fellowship), serving as lead counsel in more than a dozen criminal and civil matters at all levels of federal and state court. David was also an associate in the Chicago and Washington, D.C. offices of another international law firm.
In 2017 and 2018, David was selected to the Washington, D.C. Super Lawyers Rising Stars list.
Amy M. Ross is the former Partner-in-Charge of the San Francisco office and a member of the Securities Litigation, Investigations and Enforcement Group.
Her practice focuses on the representation of public companies, directors and officers in securities class actions, SEC and DOJ investigations and enforcement actions, shareholder derivative actions and actions brought under federal and state securities laws.
Ms. Ross has extensive experience in litigation involving compliance breaches of fiduciary duty and securities law violations and conducting various types of corporate investigations.
New York; Washington, D.C.
New York; Washington, D.C.
Guy Singer is a partner in the New York office and a member of the White Collar and Criminal Investigations group. Guy also maintains an office in the Washington, D.C., office. His practice focuses on litigation with an emphasis on white collar crime and corporate compliance matters.
He has provided significant representation with respect to internal and government investigations involving alleged violations of the Foreign Corrupt Practices Act (FCPA), criminal antitrust investigations and prosecutions, earnings management and other types of corporate fraud.
Guy is a former trial attorney in the Department of Justice's Criminal Division, Fraud Section. While at the Department of Justice, he investigated and prosecuted white collar crime and public corruption throughout the United States, from grand jury through trials, including allegations of bribery, bank fraud, money laundering, securities fraud, obstruction of justice, mail/wire fraud, honest-services fraud and violations of the FCPA and Internal Revenue Code. Guy was lead prosecutor in the case against Jack Abramoff, which resulted in multiple convictions including a U.S. Congressman and other high-level officials. During his tenure with the Department of Justice, he received numerous commendations and recognition from federal and state law enforcement agencies for his work. He previously focused on public corruption and organized crime matters while an Assistant State Attorney at the Miami-Dade County State Attorney's Office, as well as a Special Assistant U.S. Attorney in the Southern District of Florida.
Washington, D.C.; New York
Washington, D.C.; New York
Rob Stern is the Co-Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group.
Rob is a nationally ranked securities, financial services and regulatory litigator with a demonstrated track record of achieving outstanding results for financial services institutions, Fortune 100 companies and officers and directors of public companies. Rob's mastery of the field enables him to develop creative litigation strategies and business solutions for his clients in a broad array of situations.
For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters. Rob possesses particular expertise litigating claims involving accounting-related matters, structured products, mortgages, futures and derivatives. Rob routinely represents financial institutions, public companies, officers and directors.
Rob is a faculty member for the Practicing Law Institute’s Securities Litigation program. Rob has also been nationally recognized as a leader in securities litigation by The Legal 500 and SuperLawyers.
Michael Tu leads the firm's securities litigation practice in Southern California. His practice focuses on litigation and counseling under the federal and state securities laws, mergers and acquisitions lawsuits, regulatory investigations and proceedings, securities and corporate governance advice, and business litigation and trade secrets disputes.
Michael is recognized as a leading trial lawyer who has successfully prosecuted and defended numerous trials to verdict in federal and state courts, and is among the few lawyers in the country who have defended a securities class action trial to verdict. That shareholder class action trial was recognized as one of the "Top Defense Verdicts" in California by the Daily Journal.
In addition to his representation of clients in litigation disputes, he regularly counsels public and private companies regarding securities, corporate governance and disclosure issues, and has represented numerous board committees and accounting firms in connection with investigatory and litigation matters. He frequently advises multi-national corporations and executives based in Asia and Europe with respect to business disputes and securities matters. His successful representation of clients in high-profile securities and corporate governance disputes has been widely reported in the media (Los Angeles Times, Wall Street Journal, New York Post, Hollywood Reporter, Variety, New York Times, Fortune), and he was recently recognized as one of the "Most Influential Minority Attorneys in Los Angeles" by the Los Angeles Business Journal.
Michael has moderated and spoken at numerous events on securities law and corporate governance developments. In addition, as a past faculty member of the Stanford Senior Executive Leadership Program, he has taught business executives and leaders on a number of subjects, including cross-border litigation, risk management and securities and accounting liability issues.
Michael serves as a member of the Board of Directors of the Constitutional Rights Foundation. He is a member of the Executive Committee of the Litigation Section of the Los Angeles County Bar Association, and is Co-Chair of the Programs Committee. He previously served as the Court Alerts Editor, and as Co-Chair of the Federal Courts and Breakfast at the Bar Committees. He is also a member of the Board of Advisors of the monthly Securities Reform Act Litigation Reporter publication. He served as a Lawyer Representative for the Central District of California to the Ninth Circuit Judicial Conference from 2006-2009.
San Francisco; Boston
San Francisco; Boston
Michelle Visser has extensive experience in defending companies that face the regulatory investigations, class action litigation, and payment card brand claims that frequently follow the announcement of cybersecurity incidents. In addition to litigating privacy and cybersecurity matters, Michelle has navigated numerous companies through their cybersecurity response, including by overseeing technical forensic investigations, advising on notification obligations and coordinating communication strategies.
When faced with an incident, companies call Michelle for crisis response with an eye toward potential litigation. Clients also look to Michelle for privacy and cybersecurity advice before a crisis is at hand. Michelle regularly takes the lessons learned from litigating privacy and cybersecurity matters to provide clients with proactive advice on how to structure their privacy and cybersecurity programs and incident response plans in ways designed to reduce legal exposure.
For her role in representing companies that have faced some of the most high-profile cybersecurity incidents and litigation to date, Michelle was named one of the “40 Under 40” in 2018 by the Global Data Review and a “Rising Star” by Law360 in 2015. She was also recognized as one of the “Women Leaders in Technology Law” by The San Francisco Recorder in 2015.
Michelle is also regularly turned to for defense against other types of class actions and complex litigation with experience in defending companies against securities, antitrust, and other commercial claims.