White Collar Criminal Defense & Internal Investigations Practice - Practical Wisdom, Trusted Advice. www.lockelord.com
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White Collar
Criminal Defense & Internal Investigations Practice
Practical Wisdom, Trusted Advice.
www.lockelord.com
Locke Lord’s White Collar Criminal Defense & Internal
Investigations Practice has an unparalleled and unique
group of lawyers, including two former U.S. Attorneys,
with major case experience who provide vital representation
to clients during regulatory action, investigations, and
litigation related to their companies.
Locke Lord is entrepreneurial in recognizing the need for a White Collar Practice
to help clients navigate within today’s highly regulated business environment.
Our experienced and diverse team represents corporations, its officers and
employees in White Collar criminal matters and internal investigations. Our
White Collar lawyers counsel clients around the United States and throughout
the world in some of the most highly regulated industries including energy,
health care, environmental, insurance and banking.
Paul Coggins, Co-Chair of the Firm’s White Collar practice, and Tim Johnson
are both former U.S. Attorneys who ran two of the largest offices in the United
States. Steve Huggard, Co-Chair of the Firm’s White Collar practice, served
for four years as Co-Chief of the Public Corruption & Special Prosecutions Unit
of the U.S. Attorney’s Office, District of Massachusetts. In addition, we have
former SEC Commissioner Roel Campos, and other former members of the
SEC, who can navigate clients through the most complex legal issues using
their years of experience from working inside the government.
Our lawyers have years of experience in the Foreign Corrupt Practices Act (FCPA),
antitrust enforcement, public corruption, health care fraud, export and import
criminal violations, bank fraud, commercial bribery, money laundering, forfeitures and
computer fraud.
We strive to investigate and thoroughly understand the nuances of each case,
working to resolve matters before criminal charges are ever filed. Our White
Collar lawyers work closely with Firm lawyers in other specialties to ensure a
full service approach to these traditionally controversial and sometimes high
profile cases. We help clients with grand jury investigations, public relations,
and strategic planning all the way through to aggressive courtroom defense,
if necessary.
The depth of our internal investigation experience covers a broad range of
topics, including financial accounting, federal securities laws and regulations,
transactions with related parties, FCPA violations, regulatory compliance and
shareholder derivative demands.
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KEY PRACTICE GROUP CONTACTS
Paul Coggins
Partner and White Collar Practice Co-Chair
Dallas
214-740-8104
pcoggins@lockelord.com
Paul Coggins was the U.S. Attorney for the Northern District of Texas from 1993-2001. His practice
focuses on White Collar criminal defense, and he has represented numerous Fortune 500 clients
in high stakes litigation before federal courts and the SEC. Some of his achievements include
prosecuting one of the first federal “three strikes and you’re out” cases in the United States;
prosecuting a complex case brought under the federal Economic Espionage Act; stamping out
one of the United States’ largest immigrant smuggling rings; building one of the United States’
first health care fraud task forces; prosecuting the first anthrax-hoax case in the United States;
and representing the State of Texas in a massive 20-year-old class action lawsuit that he helped
bring to settlement.
Mr. Coggins conducts internal investigations involving alleged tax fraud and securities
violations. In addition, he develops compliance and ethics programs for public bodies,
corporations and other business entities.
Stephen G. Huggard
Partner and White Collar Practice Co-Chair
Boston
202-239-0769
stephen.huggard@lockelord.com
Steve Huggard represents businesses and individuals in criminal and complex civil litigation,
with a focus on White Collar criminal defense and is experienced at conducting complex
internal investigations, both in the United States and overseas. He regularly represents clients
before the Securities and Exchange Commission and the Department of Justice. He also
advises several publicly-traded companies on FCPA matters and has conducted training for
those clients domestically and internationally.
After 17 years as a prosecutor with the Department of Justice, Mr. Huggard applies his
considerable experience to assisting corporations and executives with any government
inquiries or internal investigations. Before joining the firm, he served for four years as Chief of
the Public Corruption & Special Prosecutions Unit at the U.S. Attorney’s Office, District of
Massachusetts, overseeing some of the most complex investigations in the office. Mr. Huggard
was one of the few Assistant U.S. Attorneys in Boston selected to work around the clock
investigating the attacks of September 11. He also headed the federal inquiry into the Catholic
Church sex abuse scandal. Prior to becoming Chief, he was part of the Economic Crimes Unit,
where he prosecuted complex tax, health care fraud and investment fraud cases.
Tim Johnson
Partner
Houston
713-226-1114
tjohnson@lockelord.com
Tim Johnson is head of the Firm’s White Collar Criminal Defense and Internal Investigations
practice in the Houston office and a former U.S. Attorney for the Southern District of Texas. He
represents corporate clients in criminal matters and is a frequent lecturer on FCPA and other
areas of federal criminal interest.
As U.S. Attorney from 2008-2010, Mr. Johnson led one of the largest U.S. Attorney’s offices in the
United States which investigated and prosecuted corrupt public officials and law enforcement
officers, online child predators, violent and repeat offenders, organized crime involving immigration
and narcotics violators, firearms smugglers and White Collar offenders engaged in fraudulent
activity ranging from identity theft, Medicare, Medicaid, and FEMA fraud to mortgage fraud and
environmental crimes. In civil litigation, he led the office to secure large settlements in a number
of False Claims Act matters and represented the United States in the border fence litigation.
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Mr. Johnson was First Assistant U.S. Attorney from 2006-2008 after almost two decades of being
in private practice where he represented individuals and corporations in matters before the United
States and its various agencies. From 1977-1985, he was a special agent with the Intelligence
Division and later the Criminal Investigation Division of the IRS.
Roel Campos
Partner
Washington, D.C.
+1 202-220-6931
rcampos@lockelord.com
Roel Campos is the National Chair of Securities Regulation and Enforcement at Locke Lord. He was
twice appointed by President George W. Bush and confirmed by the U.S. Senate as a Commissioner
of the Securities and Exchange Commission (“SEC”) where he served from 2002 to 2007. During his
time on the Commission, Mr. Campos was liaison to the international regulatory community and
became well known among international regulators. Mr. Campos also served until 2013 on President
Barack Obama’s Presidential Intelligence Advisory Board, the oldest and one of the most prestigious
of the Presidential citizens advisory boards. Earlier in his career, Mr. Campos was a federal prosecutor
in Los Angeles.
As a Commissioner for the SEC, Mr. Campos presided over hundreds of complex enforcement
cases applying the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment
Company Act of 1940, and the Investment Advisers Act of 1940.
Andrew L. Fish
Partner
New York
212-415-8541
afish@lockelord.com
Andrew Fish is an experienced trial attorney who served for 14 years as a federal prosecutor
in the U.S. Attorney’s Office for the Southern District of New York. As an Assistant U.S.
Attorney, Mr. Fish investigated and prosecuted a wide array of federal securities fraud offenses
and coordinated parallel civil proceedings with the SEC. He was deputy chief appellate
attorney and a member of the Securities and Commodities Fraud Task Force. He was lead
counsel in 13 federal jury trials to verdict.
Mr. Fish has appeared regularly before the U.S. Court of Appeals for the Second Circuit,
where he represented the United States in several significant insider trading cases.
C.W. (Peter) Flynn
Of Counsel
Dallas
214-740-8654
cwflynn@lockelord.com
Peter Flynn has worked on behalf of public companies and broker-dealers in the area of
securities litigation for the past 30 years. He was formerly an attorney with the Trial Unit of the
SEC’s Division of Enforcement in Washington, D.C. He has substantial experience defending
securities class action suits and has represented companies and individuals in SEC and other
regulatory investigations. Mr. Flynn also is experienced in securities and commercial
arbitration, and he has represented clients in arbitration proceedings before panels of FINRA
and the American Arbitration Association.
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John B. Hall
Partner
Houston
713-226-1282
jbhall@lockelord.com
John Hall represents a wide range of clients in White Collar criminal matters involving the
FCPA, bank fraud and other economic crimes. He also conducts internal investigations
relating to possible options backdating and other possible securities violations. Mr. Hall
represents clients on matters in the oil and gas industry including disputes relating to oil and
gas production and processing, qui tam litigation, offshore operating agreements and other
contractual disputes.
Terence Healy
Partner
Washington, D.C.
202-220-6993
thealy@lockelord.com
Terence Healy is an experienced trial lawyer whose practice focuses on representing
institutions and individuals in matters against the Securities and Exchange Commission
(“SEC”), Department of Justice (“DOJ”), Commodity Futures Trading Commission (“CFTC”),
and other financial regulators. Both in private practice and with the SEC and DOJ, he has
represented clients before trial and appellate courts throughout the country and has been
lead counsel in numerous complex matters tried to verdict. He has also led investigations on
behalf of audit committees and special committees of public companies into securities fraud
and related issues.
As Senior Assistant Chief Litigation Counsel for the SEC, Mr. Healy represented the Commission
in cases related to accounting fraud, revenue recognition, options backdating, insider trading,
FCPA, structured products, and other issues. He worked closely with the Enforcement Division’s
investigative staff in determining the scope of investigations and in making charging
recommendations. He also supervised a team of seven first-chair SEC trial lawyers.
Gregory C. Hill
Partner
Houston
713-226-1187
ghill@lockelord.com
Greg Hill works on corporate governance matters, including the representation of boards of
directors, audit committees and special committees. He has conducted numerous internal
investigations for public companies which have addressed the FCPA and other violations of
law, back-dating of stock options, accounting issues, misconduct by management, fraud and
other matters.
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Michael H. King
Partner
Chicago
312-201-2213
michael.king@lockelord.com
Mike King has more than 35 years of experience representing companies and individuals in
criminal and regulatory investigations and proceedings. He has been involved in numerous
trials, grand jury and internal and regulatory investigations throughout the United States and
in numerous countries around the world dealing with FCPA, antitrust, fraud, money laundering,
product liability, UK Bribery Act and other issues. Additionally he has handled government
contract fraud investigations and alleged improper export of restricted military equipment
investigations conducted of the US State Department and the DOD. He has also participated
in proceedings before the UK Serious Fraud Office and other non-US regulatory and
investigatory agencies. He has also handled first chair responsibilities in numerous trials and
litigation which were related to various governmental investigations including multiple major
antitrust class actions and numerous MDL proceedings. Mr. King began his career as a Special
Attorney with the US Department of Justice Organized Crime and Racketeering Section and
served with the Chicago Strike Force. He also served as an Assistant U.S. Attorney for the
Northern District of Illinois (Chicago). He was appointed by then Gov. James R. Thompson to
serve as Chairman of the Board of Commissioners of the Illinois Appellate Defender.
Berne C. Kluber
Partner
Houston
713-226-1513
bkluber@lockelord.com
Berne Kluber specializes in international trade transactions and helping clients comply with
international trade laws and regulations. Whether buying or selling internationally, U.S.
companies and their subsidiaries must comply with U.S. trade laws such as the Export
Administration Regulations (“EAR”), the International Traffic in Arms Regulations (“ITAR”),
U.S. economic sanctions regulations, trade embargos, customs laws, and anti-corruption laws
such as the FCPA and the UK Bribery Act of 2010. Mr. Kluber uses his background in these
areas to help clients implement practical compliance programs that fit their business model.
When problems occur, his experience with internal investigations helps his clients find, fix and
resolve the problems quickly and efficiently.
Richard J. McCarthy
Of Counsel
Boston
617-951-2230
richard.mccarthy@lockelord.com
Richard McCarthy served as Assistant U.S. Attorney in the Southern District of New York and
as Deputy Chief Counsel to the Massachusetts Special Commission Concerning State and
County Buildings (the Ward Commission). He practices in insurance, government and business
litigation and White Collar criminal defense, with emphasis on complex government,
commercial, corporate and technology litigation, antitrust, and federal fraud cases.
Kiprian Mendrygal
Partner
Dallas
214-740-8106
kmendrygal@lockelord.com
Kiprian Mendrygal has represented a number of public companies, private entities and high-
profile individuals before most major state and federal law enforcement and investigative
agencies, including the Texas Attorney General, the IRS, the FBI, the DEA, the FDA, the FDIC,
the Texas Department of Health, the Department of Health and Human Services, the United
States Secret Service, FINRA and the SEC. Mr. Mendrygal represents clients who have been
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involved in a variety of confidential and highly sensitive investigations, including those with
allegations of counterfeiting, money laundering, insider trading, violations of state and federal
Anti-Kickback statutes, violations of the Foreign Corrupt Practices Act, perjury, bribery of public
officials, misappropriation of public funds, wire/mail fraud and a variety of other financial crimes.
Mr. Mendrygal also conducts internal investigations for public and private companies, as well
as taxpayer-funded entities, involving a wide array of issues, including alleged tax fraud, theft
of public funds, financial frauds, and securities violations.
Allison O’Neil
Partner
Boston
617-239-0729
allison.oneil@lockelord.com
Allison O’Neil concentrates her practice on complex commercial litigation and White Collar
criminal defense. Her clients include businesses, executives, and professionals in financial
services and other regulated industries. She regularly represents companies and individuals
on matters before the Securities Exchange Commission and the Department of Justice.
Ms. O’Neil also has extensive experience in the litigation of employment issues, business
torts, contract disputes, and fiduciary duty claims arising in closely-held companies and
partnerships. She has successfully briefed and argued cases in the Massachusetts Appeals
Court and the Supreme Judicial Court of Massachusetts. With extensive trial experience in a
variety of criminal matters in state and federal courts as well as in crisis management and
media and government relations, she is uniquely suited to represent clients who face complex
civil disputes with related criminal issues, including commercial crimes. As a former Middlesex
County Assistant District Attorney, Ms. O’Neil prosecuted a wide variety of matters, including
fraud, and civil rights cases in Superior Court.
Marlon Q. Paz
Partner
Washington, D.C.
202-220-6909
mpaz@lockelord.com
Marlon Paz concentrates on securities matters, business litigation, White Collar criminal
defense and internal investigations. He has extensive experience with complex securities
litigation, financial regulation, internal investigations and compliance, including the FCPA and
anti-corruption matters. Mr. Paz serves as an Adjunct Professor at Georgetown University.
Prior to joining Locke Lord, he was the Principal Integrity Officer of the Inter-American
Development Bank, where he led a team of lawyers and investigators in the prosecution of
fraud and corruption cases. He also was responsible for compliance procedures relating to
issues such as integrity due diligence, anti-money laundering, offshore financial centers and
the OFAC List.
Mr. Paz served in senior positions at the SEC, where he worked on significant enforcement
matters and played a key role in developing the position of the Commission on many
regulatory actions. He has particular expertise on issues related to broker-dealers, hedge
funds and investment advisers.
Priya Sopori
Partner
Los Angeles
213-687-6767
psopori@lockelord.com
Priya Sopori was an Assistant U.S. Attorney in the Central District of California, prior to joining
the Firm, where she prosecuted federal cases, involving White Collar crime and fraud,
cybercrime, violent crime, crimes against children, drug crime and immigration crime. At the
U.S. Attorney’s office, she first chaired several multi-week trials in district courts covering a
wide range of subjects, from a 900-victim Ponzi scheme to interference with flight crew. She
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argued a wide variety of evidentiary hearings, including probation revocations, CVB
(misdemeanor) trials, suppression motions, bond and detention hearings, sentencings and
initial appearances. Ms. Sopori also has considerable experience leading grand jury
investigations, proffer sessions and witness interviews.
Robert M. Stephenson
Partner
Chicago
312-443-0439
rstephenson@lockelord.com
Robert Stephenson concentrates on litigation matters in the areas of antitrust, corporate and
governmental investigations, complex civil and White Collar criminal litigation, corporate crisis
management, securities and commodities fraud, insurance, health care and environmental law.
After serving as a law clerk for U.S. District Judge Prentice H. Marshall, Mr. Stephenson was an
Assistant U.S. Attorney in Chicago, where he received a Special Commendation for
Outstanding Service and the Director’s Award for Superior Service, one of the highest
distinctions awarded by the Department of Justice. Mr. Stephenson represents clients
throughout the United States and internationally in litigation and governmental investigations,
and he has built a reputation as a strong trial lawyer.
He has been a Fellow of the American College of Trial Lawyers since 1993. Mr. Stephenson
regularly lectures on White Collar crime and corporate governance issues including antitrust,
FCPA investigations, official corruption, banking and financial fraud, security law and
conducting internal corporate investigations.
Kelly Vickers
Partner
Dallas
214-740-8451
kvickers@lockelord.com
Kelly Vickers focuses on White Collar criminal defense and internal investigations, complex
commercial litigation and securities litigation. She has represented numerous companies and
individuals, mostly in federal court and before governmental agencies.
In the area of White Collar criminal defense, Ms. Vickers has represented a number of
companies and individuals before federal courts and investigative bodies, including the SEC,
FEC, IRS and DOJ. In addition, she has conducted and has represented witnesses in connection
with internal investigations involving a wide array of issues, including stock back-dating, fraud
allegations, including tax fraud, mortgage fraud, wire/mail fraud, commercial bribery, FCPA,
environmental issues and securities violations. Ms. Vickers also assists clients with compliance
issues related to political and charitable contributions.
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