The Trusted Advocate

Joshua Klein

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OVERVIEW

Joshua Klein, a co-founder of the firm, represents individuals and entities in civil and criminal government enforcement proceedings, internal investigations, complex commercial litigation, and at trial. During his career, Mr. Klein has tried numerous federal criminal securities and other felony cases before a jury, always achieving a successful outcome. Mr. Klein also advises on compliance and governance matters and has testified as an expert on regulatory enforcement matters.

Mr. Klein’s clients include corporate Boards, corporate officers and directors, senior executives of financial institutions and multi-national corporations, principals of privately held firms, hedge funds, compliance officers, traders, accountants, attorneys, and several banks and brokerdealers. Former colleagues and adversaries have publicly characterized Mr. Klein as “very strategic” and “very formidable.”

BIOGRAPHY

Prior to co-founding the firm, Mr. Klein served for a combined thirteen years as an Assistant United States Attorney in the Office of the United States Attorney for the Southern District of New York and as counsel with the Enforcement Division of the Securities and Exchange Commission. As a member of the SDNY Securities and Commodities Fraud Task Force for more than six years he led the government’s high-profile Galleon investigation which resulted in the convictions of dozens of individuals in one of the largest insider trading cases in history.  Earlier, from 1993 to 1997, Mr. Klein was an associate with Simpson Thacher & Bartlett LLP.

Press and Recognition:
Mr. Klein has been profiled in The New York Times©, The Wall Street Journal©, and Bloomberg©, among other publications. His role in certain matters has been chronicled in American Greed© (television series), The Billionaire’s Apprentice, The Rise of the Indian-American Elite and the Fall of the Galleon Hedge Fund© (book), and Black Edge: Inside Information Dirty Money, and the Quest to Bring Down the Most Wanted Man on Wall Street© (book). Mr. Klein has also been recognized as a leading practitioner in publications including Who’s Who Legal Business Crime Defence© and Benchmark Litigation©.

Professional Associations and Activities:
Mr. Klein serves on the White Collar Crime Committee of the Association of the City Bar of New York, the New York State Bar Association White Collar Crime Committee, and the Program Committee of the Federal Bar Council, and is a member of the New York Council of Defense Lawyers. Mr. Klein formerly served as a member of the Criminal Justice Act Panel for the Southern District of New York, representing indigent defendants in a broad array of federal criminal proceedings.

Mr. Klein has also served as a panelist in CLE courses sponsored by SIFMA, the U.S. Department of Justice’s National Advocacy Center, the Directors’ Roundtable, has lectured at Columbia Business School, and is a featured faculty member on Lawline.

Admissions:
U.S. Court of Appeals for the Second Circuit
U.S. District Court for the Southern District of New York
U.S. District Court for the Eastern District of New York
U.S. District Court for the Eastern District of Michigan

Education:
Harvard Law School (1993, cum laude)
University of Michigan, Ann Arbor (1990, High Distinction, Phi Beta Kappa),

NOTABLE ENGAGEMENTS

  • RECENT TRIALS
    • Represented lead defendant in U.S. v. Shapiro et al., 3:15 cr. 00155-RNC, in six-week federal court jury trial on an indictment charging conspiracy, securities fraud and wire fraud in connection with certain non-agency RMBS trading in the secondary market. Client acquitted on eight counts of securities and wire fraud, with no verdict returned on conspiracy count
  • BOARD COMMITTEE INVESTIGATIONS
    • Counsel to Special Committee of a Board of Directors in an internal investigation arising from charges filed by the Department of Justice against the former Speaker of the House in Ohio and others with respect to the enactment of certain legislation and company contributions to organizations that supported the legislation
    • Counsel to Audit Committee of a Board of Directors in the internal review of certain sales practices
  • PROFESSIONALS AND LAW FIRMS
    • Counsel to the General Counsel of a publicly traded company in an internal investigation conducted by the Audit Committee of a Board of Directors
    • Counsel to a law firm in connection with multiple regulatory investigations
    • Counsel to a law firm in connection with a DOJ investigation of certain financial transactions
    • Counsel to the Chief Compliance Officer of an international financial institution in connection with an SEC investigation
    • Counsel to the Chief Compliance Officer of an asset manager in connection with parallel SEC and DOJ investigations pertaining to asset valuation
  • ASSET MANAGEMENT AND PRIVATE EQUITY
    • Pool counsel to an asset manager in connection with parallel SEC and DOJ investigations
    • Counsel to several portfolio managers in connection with civil and criminal insider trading investigations
    • Counsel to a co-principal of a mezzanine funder in connection with an SEC investigation
    • Counsel to an analyst at a hedge fund in connection with an SEC investigation involving insider trading
    • Counsel to a financial analyst in parallel FCPA investigations by the SEC and DOJ pertaining to Och-Ziff
  • FINANCIAL INSTITUTIONS
    • Pool counsel to several bank employees in connection with a DOJ money laundering investigation
    • Counsel to bank executive in investigation of equity dark pools by the SEC and New York Attorney General
    • Counsel to a bond trader in connection with parallel SEC and DOJ investigations involving the trading of high yield corporate bonds
    • Counsel to several senior financial executives in connection with criminal and civil investigations related to mortgage-backed securities
    • Counsel to a Lehman Brothers Chief Financial Officer in connection with multi-district litigation
    • Counsel to several traders in DOJ, UK Financial Conduct Authority and UK Serious Fraud Office probes involving FOREX, LIBOR, EURIBOR, and precious metals trading
  • PUBLIC COMPANY EXECUTIVES
    • Counsel to senior executive of General Motors in DOJ ignition switch investigation and collateral civil litigation
    • Counsel to senior executive of BP in parallel investigations related to the Deepwater Horizon explosion
    • Counsel to a corporate executive in the DOJ FIFA investigation
    • Counsel to Head of Sales of a public company in parallel investigations by the SEC and the Special Committee of a Board of Directors
    • Counsel to former President of a public company in an SEC investigation and collateral civil litigation
    • Counsel to a former Chief Executive Officer of a public company in an SEC investigation and collateral civil litigation