Bradley J. Bondi

Phone202 862 2314

Peer Rating
 5.0/5.0
AV® Preeminent

Client Rating

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Practice Areas

  • Business Fraud & White Collar Defense
  • Corporate & Securities Litigation
  • Corporate Governance
  • FCPA and International Anti-Bribery
  • False Claims Act
  • Financial Regulation
  • Litigation
  • Securities Enforcement & Investigations
 
Contact InfoTelephone: 202 862 2314
Fax: 202 862 2400
http://www.cadwalader.com/professionals/bradley-bondi
 
University University of Florida (B.S., with highest honors; M.B.A., Finance/Management); Cornell University, Certificate in Executive Leadership
 
Law SchoolUniversity of Florida, Fredric G. Levin College of Law, J.D., with high honors; Georgetown University Law Center, LL.M., with distinction
 
Admitted1999, District of Columbia, Florida, U.S. District Court, Northern, Middle and Southern Districts of Florida and U.S. Court of Appeals, Eleventh Circuit; 2001, U.S. Court of Appeals, Fourth Circuit and U.S. Court of Appeals, District of Columbia Circuit; 2002, U.S. Court of Appeals, Eighth Circuit; 2003, U.S. District Court for the District of Columbia and U.S. Supreme Court; 2004, U.S. District Court, District of Maryland; 2005, U.S. Court of Appeals, Second Circuit; 2006, New York
 
Memberships V2N1 Mar 26, 2014

SEC Enforcement Advisor

• SEC Announces Largest Ever Whistleblower Award, Awards $30 Million to Foreign Whistleblower Oct 01, 2014

• Second Circuit Holds that Anti-Retaliation Provisions of Dodd Frank Act Have No Extraterritorial Application Aug 20, 2014

• Gatekeepers In the Enforcement Spotlight May 22, 2014

• Second Circuit Expresses Skepticism Towards Government's Theory of Insider Trading Cases Against Downstream Tippees Apr 24, 2014

• SEC Launches Municipalities Continuing Disclosure Cooperation Initiative Mar 27, 2014

• SEC Announces Third Whistleblower Award Oct 11, 2013

• Seventh Circuit Enters “Unchartered Territory” of Insider Trading Law But Leaves Open Novel Question of Whether the Misappropriation Theory of Insider Trading Applies to Mutual Fund Issues Aug 26, 2013

• Changing of the Guard: A New Era of SEC Enforcement Jul 23, 2013

• SEC Announces Second Set of Whistleblower Awards Jul 01, 2013

• The SEC's New Policy on Seeking Admissions in Settlements Jun 28, 2013

White Collar Defense and Investigations Advisor

• AML Guidance Issued for Banks Seeking to Service Marijuana-Related Businesses Feb 27, 2014

• SEC Issues Guidance on Conflict Minerals Rule Jun 10, 2013

• U.S. and Chinese Regulators Sign Historic Memorandum of Understanding Regarding Enforcement Cooperation May 31, 2013

• Southern District of New York Orders Chevron CEO and General Counsel to Testify in RICO Suit Related to $18 Billion Ecuadorian Judgment May 28, 2013

• European Union Pending Legislation Requiring Additional Transparency from Extractive Industries May 20, 2013

• A Brief Primer for Corporate Social Media Disclosures in Light of the SEC's Recent Guidance on Regulation FD Apr 08, 2013

• District Court Denies Mark Cuban Summary Judgment in SEC's Insider Trading Case Mar 14, 2013

• Supreme Court Rejects SEC's Position Concerning Statute of Limitations in Securities Fraud Actions Mar 01, 2013

• The Dodd-Frank Whistleblower Program: An Analysis of the SEC's Second Annual Report, Best Practices for Dealing with Whistleblowers, and Recent Cases Interpreting the Scope of the Anti-Retaliation Provisions of the Dodd-Frank Act Dec 10, 2012

• SEC Issues Resource Extraction Rule Sep 21, 2012

• SEC Issues Conflict Minerals Rule Aug 29, 2012

• The Evolving Obligations of Public Companies to Disclose Cyber-Intrusions Jul 09, 2012

• Justice Department Establishes Residential Mortgage-Backed Securities Working Group Jan 31, 2012

• The Dodd-Frank Whistleblower Provisions: Considerations for Effectively Preparing for and Responding to Whistleblowers May 26, 2011

• FinCEN Issues Final Rule on Foreign Bank Account Reporting (FBAR) Mar 01, 2011

Videos

• Bradley Bondi comments on insider trading allegations on CNBC's Squawk Box Jun 02, 2014

 
Biography

Bradley J. Bondi leads the Securities Enforcement and Investigations Group and is a partner in the White Collar Defense and Investigations and Securities Litigation practices, residing in the Washington, D.C. and New York offices. He focuses on a wide range of complex civil and criminal matters involving securities and financial laws, corporate governance, and business laws. Brad represents boards, companies, financial institutions, and individuals in internal investigations, domestic and foreign government inquiries, and adversarial proceedings, including enforcement actions involving the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ), and complex private litigation from trial to appeal. In a counseling role, he advises boards of directors, audit committees, special committees, and senior management of public companies and financial institutions on matters of corporate governance, securities and financial regulation, fiduciary duties, compliance with the Sarbanes-Oxley and Dodd-Frank Acts, and crisis management. For his work with boards of directors, Brad was named to the National Association of Corporate Directors' 2012 Directorship 100 list of People to Watch. He was named to Securities Docket's inaugural “Enforcement 40,” which recognizes the 40 “best and brightest” securities enforcement attorneys in the country. Securities Docket described Brad as “the first choice among Boards of Directors and Audit Committees of the Fortune 500 when their company is faced with SEC or DOJ problems. Brad also was selected as one of the Top 100 Criminal Trial Lawyers in the State of New York, was included in the 2014 list of the Best Lawyers in America for Financial Services Regulation Law, and was named one of the Top 40 Investigative Lawyers in the world under the age of 40.

Brad specializes in representing clients through complex, multifaceted crises that often involve regulatory enforcement actions, private lawsuits, government and congressional investigations, and business and reputational risks. He counsels and defends clients in enforcement actions and investigations initiated by various federal and state agencies and departments, including the SEC, DOJ, United States Attorneys and grand juries, State Attorneys General, Federal Deposit Insurance Commission (FDIC), Office of the Controller of the Currency (OCC), Financial Industry Regulatory Authority (FINRA), Federal Reserve, Office of Foreign Assets Control (OFAC), Consumer Financial Protection Bureau (CFPB), and Federal Trade Commission (FTC). Such matters may involve allegations related to securities, banking, and accounting fraud; insider trading; antitrust violations; whistleblowers; adequacy of disclosures; broker-dealer and investment adviser compliance; fiduciary duties; mortgages and lending; complex financial products; securitization; deceptive trade practices; and alleged violations of the Foreign Corrupt Practices Act (FCPA) and other anti-bribery laws, anti-money laundering laws, export control laws, and national security laws. He also handles various civil and criminal litigation, such as securities litigation, corporate control litigation, commercial litigation, contractual disputes, arbitrations, and criminal proceedings.

At the investigative stage, he designs and leads internal investigations for international companies in different regions of the world and on a variety of topics, including suspected violations of securities laws, accounting irregularities, internal controls, market manipulation, revenue recognition issues, tax-related matters, suspected violations of the FCPA, commercial bribery, and potential antitrust concerns. He also assists companies in ensuring appropriate reporting and remedial steps are taken to address any discovered problems.

Brad has earned a positive reputation with regulators and clients for his thorough and efficient internal investigations. For example, a recent internal investigation for the Board of Directors of the Washington Metropolitan Area Transit received widespread praise from the client and the media for its integrity, thoroughness, and efficiency. A Board resolution observed that the four-month Investigation was conducted with the highest integrity, that the issues have been thoroughly investigated, and the report's findings are well-documented. The Editorial Board of the Washington Post wrote that the investigation by Brad's team uncovered incontrovertible evidence and that the investigative report was meticulous. A columnist for the Washington Post wrote, The rigorous report [by Cadwalader] sets the standard, and proclaimed, This, fellow District residents, is how dedicated, smart people do it.

Prior Experience

Prior to joining Cadwalader, Brad was a member of the executive staff of the Securities and Exchange Commission, serving as Counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement actions and regulatory rulemaking. He routinely advised on SEC enforcement matters and regularly interacted with SEC Enforcement staff in the home and regional offices. He also served on the steering committee for the SEC's Strategic Plan for Fiscal Years 2010-2015 and on several working groups related to enforcement initiatives. While at the SEC, Brad was detailed to the Financial Crisis Inquiry Commission (FCIC), a bipartisan commission established by Congress to investigate the causes of the financial crisis, where he served as deputy general counsel and assistant director. In that role, he led one of the three FCIC investigative teams and focused primarily on credit ratings, mark-to-market accounting, regulatory supervision, and government housing policies. Brad also served briefly as a Special Assistant United States Attorney for criminal prosecutions in the Eastern District of Virginia.

Before his government service commenced, Brad was a litigation partner at Kirkland and Ellis LLP and an associate at Williams and Connolly LLP, where he was involved in a number of high-profile criminal trials and civil litigation, including the following civil cases: serving as counsel of record for an investment bank before the Supreme Court, Credit Suisse First Boston Ltd. v. Billing, 127 S. Ct. 2383 (2007) (reversing Second Circuit decision denying antitrust immunity and reinstating district court dismissal); representing a major underwriter in district court and on appeal in the largest securities class action lawsuit to date, see, e.g., Miles v. Merrill Lynch (In re IPO Securities Litigation), 483 F.3d 70 (2d Cir. 2007) (denying rehearing of Second Circuit's reversal of district court's grant of motion for class certification); successfully representing energy trade association in multi-district civil discovery dispute, see, e.g., U.S. v. Duke Energy Corp., Nos. 1:00 CV 1262, 2006 WL 2547986 (D.D.C. 2006) (denying government's motion to compel production); successfully representing corporate-plaintiff at trial and on appeal in an insurance broker malpractice case, Archer Daniels Midland Co. v. Aon Risk Services, Inc. of Minnesota, No. 97-2185, 2002 WL 31185884 at *3 (D. Minn. Sept. 27, 2002), aff'd, 356 F.3d 850 (8th Cir. 2004) (affirming jury verdict and award of $20 million damages in favor of corporate client).

Publications and Scholarship

A frequent speaker at business and legal conferences, Brad is also a prolific author of articles and book chapters on securities law, criminal law, corporate governance, and the attorney-client privilege and work-product protection. Articles that he exclusively wrote have appeared in the law journals of Harvard Law School, New York University School of Law, Northwestern University School of Law, the University of Virginia School of Law, and Fordham Law School. He has authored two book chapters on white-collar criminal defense strategy for the popular Inside the Minds (Aspatore Books, 2007), and he previously served as an associate editor of the Business Crimes Bulletin. He also has co-authored, among other pieces, a definitive piece on insider trading law, The Law of Insider Trading: Legal Theories, Common Defenses, and Best Practices for Ensuring Compliance, a chapter on internal investigations for Lofchie's Guide to Broker-Dealer Regulation, and, with SEC Commissioner Paul Atkins, wrote an extensive account of the SEC Enforcement program, Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program. For an article he co-authored with other Cadwalader partners on the FCPA, Brad and his co-authors received the 2012 Burton Award for Legal Achievement.

Outside a client relationship, Brad is sought frequently for his views on pressing legal and policy issues. Brad has appeared as a commentator on CNBC, Bloomberg Television, PBS, and other media outlets to discuss criminal and civil enforcement of the federal securities laws and issues pertaining to the SEC and DOJ. He is quoted often by news sources such as The Wall Street Journal, Reuters, Bloomberg, Law360, and the Washington Post on those areas. In addition, Brad has advised lawmakers and policymakers on contemplated and proposed legislation and rules.

Brad is actively involved in academia and public policy as a thought leader in the fields of securities and financial regulation and economic crime. Brad teaches advanced securities law classes as an adjunct professor at Georgetown University Law Center and George Mason University School of Law. He serves as a senior fellow at the Center for Financial Stability, a nonprofit, nonpartisan, and independent think tank focusing on financial markets for the benefit of investors, officials, and the public. He is actively involved in international regulatory issues as a member of the Pallanza Group, an annual gathering of U.S. and European leaders hosted by the Istituto Bruno Leoni of Milan, Italy. In 2012, he served as a delegate to the 34th Annual American Council on Germany Young Leaders Conference in Germany. He also is an active member of the board of advisors of the Economic Crime and Cybersecurity Institute, which supports education and research in economic crime and information security and functions as a resource for corporate, government, and law enforcement entities. Brad previously served two, three-year terms as an elected member of the steering committee for the Corporation Finance and Securities Law Section of the D.C. Bar.

Awards

Brad has received recognition in several practice areas. In addition to being named to the NACD Directorship 100 list of People to Watch, and to the Securities Docket's Enforcement 40, he has achieved the highest peer review rating from Martindale-Hubbell of AV Preeminent, with an overall peer rating of 5.0 out of 5.0 in securities law, litigation, and corporate law. Benchmark Litigation, a publication focused exclusively on U.S. litigation, five times identified Brad as a future star based on consistent recommendations by peer firm partners, competitors, and clients. Super Lawyers selected Brad for its rising star list on four occasions, and LegalForce identified him as a best lawyer in Washington, D.C. in finance securities law. Global Investigations Review previously named Brad to the GIR: 40 Under 40, recognizing him as one of the top 40 investigative lawyers in the world under the age of 40. The National Institute of Trial Lawyers has listed him in the Top 100 Criminal Trial Lawyers in the State of New York. Best Lawyers in America selected him in 2014 for inclusion under Financial Services Regulation Law.

In recently naming him to the “Enforcement 40,” the list of the “best and brightest” securities enforcement attorneys of all ages in the country, Securities Docket wrote the following:

“Brad Bondi is the first choice among Boards of Directors and Audit Committees of the Fortune 500 when their company is faced with SEC or DOJ problems. From his experience at the SEC and in private practice and from being a 'good and honest guy,' Bondi has earned the respect of scores at the SEC, including in the highest ranks, and throughout the private bar and has established the utmost trust of devoted clients that keep him on speed dial. His peers and clients praise his tireless work ethic and his top-notch investigative skills, especially in complicated matters, and they say his creative strategies, his confident and calming demeanor, and his appreciation of the big picture in the corporate world make him the 'go-to' lawyer for crisis situations and bet-the-company enforcement actions. Also known for his 'razor-sharp questioning of witnesses,' his 'professorial knowledge of the federal securities laws,' prolific writing, and 'attention to every fact and detail,' Bondi has the rare ability to cooperate fully and effectively with regulators and law enforcement when the situation dictates, or if necessary, battle it out to victory in court.”

News Releases

• Cadwalader Named Among Leaders in 2015 Benchmark Litigation Rankings Nov 06, 2014

• Cadwalader Attorneys, Practices Recognized in 2015 Edition of The Best Lawyers in America Aug 18, 2014

• Super Lawyers Recognizes Cadwalader's Washington, D.C. Attorneys Apr 25, 2014

• Cadwalader's Bradley Bondi Named Among Top '40 Under 40' Investigations Lawyers by Global Investigations Review Apr 08, 2014

• Cadwalader's Bradley Bondi Named Among Top Criminal Trial Lawyers in New York by National Trial Lawyers Dec 20, 2013

• Cadwalader Litigators Recognized Nationally, Locally by Benchmark Litigation 2014 Nov 20, 2013

• Securities Docket Names Cadwalder's Brad Bondi to their 'Enforcement 40,' Recognizing the Top 40 SEC Enforcement Defense Lawyers in the Country Oct 10, 2013

• Washington, D.C., Super Lawyers Recognizes 15 Cadwalader Attorneys May 01, 2013

• Benchmark Litigation Names Cadwalader Litigators as Outstanding in Their Fields Oct 18, 2012

• Cadwalader Investigation Finds DC Council Member Graham Violated Metro Conduct Standards Oct 11, 2012

• Cadwalader Garners Multiple Burton Legal Writing Honors Jun 12, 2012

• Cadwalader Named a Highly Recommended Litigation Firm by Benchmark Nov 17, 2011

• Bradley J. Bondi, Former Deputy General Counsel of Financial Crisis Inquiry Commission and Counsel to two SEC Commissioners, Joins Cadwalader Partnership Dec 01, 2010

Recent Press

• Stein Strikes Again on 'Too Big to Bar' Jul 03, 2014

• House Committee Ordered to Hearing as SEC Probes Insider Trading Jun 20, 2014

• Insider Trading Study Author Says SEC Doesn't Sweat Small Stuff Jun 20, 2014

• Second Circuit Overrules Rakoff's Controversial Rejection of SEC Settlement: Implications for FCPA Resolutions Jun 11, 2014

• SEC Setting Unrealistic Agenda For Trading Reform Jun 05, 2014

• Cybersecurity Crackdown May 27, 2014

• SEC to Aggressively Use Obscure Provision To Pursue Individuals, Chairman Says May 26, 2014

• Undisclosed Chinese Hacking, Zippo, QVOD: Intellectual Property May 22, 2014

• U.S. Companies Hacked by Chinese Didn't Tell Investors May 21, 2014

• SEC Silences Critics With Resounding Victory In Wyly Trial May 15, 2014

• SEC Targeting Firms' Cybersecurity as Market Risk May 09, 2014

• Financial Firms Bracing for 'Regulatory Onslaught' in Cybersecurity Area May 02, 2014

• SEC charges AgFeed audit committee chair in accounting fraud case Mar 11, 2014

• Appeals Court Ruling Strengthens SEC's Hand in Insider-Trading Cases Feb 19, 2014

• SEC Takes Steps to Stem Courtroom Defeats Feb 13, 2014

• Past Fictions, a Lack of Trust and No Deal in SAC Case Feb 06, 2014

• U.S. SEC judge suspends 'Big Four' China units over audits Jan 23, 2014

• Billionaire Mark Cuban takes on the SEC Nov 20, 2013

• SEC to Drop Neither Admit Nor Deny Settlement Language in Some Instances and Insist on Liability Admissions Jun 01, 2013

• An Excellent Report Recommending an Ethics Program for a Regional Transit Authority Dec 05, 2012

• Blow That Whistle, Get Paid Aug 22, 2012

• New FINRA Arbitration Program Strives For Flexibility Jul 03, 2012

• SEC Enforcement Division Buried In Whistleblower Tips Jun 05, 2012

Recognition

• Cadwalader Named Among Leaders in 2015 Benchmark Litigation Rankings Nov 06, 2014

• Cadwalader Attorneys, Practices Recognized in 2015 Edition of The Best Lawyers in America Aug 18, 2014

• Super Lawyers Recognizes Cadwalader's Washington, D.C. Attorneys Apr 25, 2014

• Cadwalader's Bradley Bondi Named Among Top '40 Under 40' Investigations Lawyers by Global Investigations Review Apr 08, 2014

• Bradley Bondi Named Top Lawyer by National Trial Lawyers Association Dec 18, 2013

• Cadwalader Litigators Recognized Nationally, Locally by Benchmark Litigation 2014 Nov 20, 2013

• Bradley J. Bondi Named Among “Enforcement 40 for 2013” by Securities Docket Oct 10, 2013

• Super Lawyers Recognizes 15 Cadwalader Attorneys in Washington, D.C. May 01, 2013

• 2013 Benchmark Litigation: The Definitive Guide to America's Leading Litigation Firms and Attorneys Oct 18, 2012

• 2012 Burton Awards for Legal Achievement Jun 12, 2012

Clients & Friends Memos

• Criminal Antitrust Whistleblower Act Reintroduced Feb 08, 2013

• CEOs and CFOs Beware: Court Endorses SEC's Aggressive Use of Section 304 of Sarbanes-Oxley To Clawback Compensation of Executives Who Did Not Engage in Misconduct Jan 02, 2013

• The Consumer Financial Protection Bureau Completes A Hat Trick With Two More Large Settlements With Financial Services Firms and Provides Warnings For the Road Ahead Nov 20, 2012

• The Consumer Financial Protection Bureau, the Controversial New Regulator, Begins with an Aggressive Enforcement Settlement Against a Financial Services Company Aug 29, 2012

• The Consumer Financial Protection Bureau: The New, Powerful Regulator of Financial Products and Services Mar 06, 2012

• Living Wills: FDIC Modifies, Finalizes Rules Sep 23, 2011

• The Bribery Act 2010: Are You Ready? Jun 30, 2011

• The Dodd-Frank Act: How It Impacts Specific Institutions, Entities and Transactions Jun 22, 2011

• Living Wills: A User's Guide To Dodd-Frank's Bequest to Banks Jun 13, 2011

• The Dodd-Frank Whistleblower Provisions: Considerations for Effectively Preparing for and Responding to Whistleblowers May 26, 2011

• SEC Launches FCPA Probe of Financial Services Industry's Interactions with Sovereign Wealth Funds Mar 18, 2011

• Quantitative Investment Models and Compliance Policies and Procedures: the Securities and Exchange Commission Order Involving the AXA Rosenberg Entities Feb 17, 2011

• SEC's First Use of A Non-Prosecution Agreement Shows Potential Benefits For Respondents But Also Demonstrates Potential Pitfalls Jan 10, 2011

• Expert Networks and Insider-Trading Probes: Best Practices in Fostering Compliance and Reducing Legal Risks Dec 21, 2010

Articles

• 10 Best Practices For Interacting With OCIE Examiners Sep 02, 2014

• What Rakoff Reversal Means For 'Neither Admit Nor Deny' Jun 05, 2014

• Big 4 Ban Raises Challenging Conflict-Of-Law Issues Feb 04, 2014

• How Cuban Scored a Home Court Win Against the SEC Nov 14, 2013

• Arguing For Arbitration Clauses In Customer Agreements Mar 25, 2013

• Use of SOX Clawback for Executives Who Did Not Engage in Misconduct Mar 04, 2013

• The Growing Importance of Independent Investigations Overseen by the Audit Committee Dec 01, 2012

• 40 Years of Wells Submissions Oct 30, 2012

• Controversial New Regulator Begins With Aggressive Enforcement Settlement Against Financial Services Company Sep 18, 2012

• The SEC's Wells Process Turns 40 Aug 31, 2012

• Ruling on Disclosure of Wells Notices Under Federal Securities Laws Aug 03, 2012

• Corruption and the Arab Spring: Compliance Implications for International Companies Jul 25, 2012

• Mandatory Arbitration as Substitute For Private Securities Class Actions Jun 14, 2012

• Best Practices for Conducting Board-Managed Independent Internal Investigations Jun 12, 2012

• The Law of Insider Trading: Legal Theories, Common Defenses, and Best Practices for Ensuring Compliance Mar 01, 2012

• Independent Investigations: When and Why Jan 26, 2012

• Citigroup Ruling Has Serious Implications for SEC Settlements Jan 16, 2012

• Investigating Accounting Misconduct Jan 10, 2012

• SEC Launches FCPA Probe of Financial Services Industry's Interactions With Sovereign Wealth Funds Aug 01, 2011

• Understanding And Dealing With The Dodd-Frank Whistleblower Provisions May 26, 2011

• Responding to Suspected Insider Trading Feb 21, 2011

• Don't Tread On Me: Has the United States Government's Quest for Customer Records from UBS Sounded the Death Knell for Swiss Bank Secrecy Laws? Mar 23, 2010

• Facilitating Economic Recovery and Sustainable Growth through Reform of the Securities Class-Action System: Exploring Arbitration as an Alternative to Litigation Mar 22, 2010

• Dangerous Liaisons: Collective Scienter in SEC Enforcement Actions Sep 01, 2009

• Securities Arbitrations Involving Mortgage-Backed Securities and Collateralized Mortgage Obligations: Suitable for Unsuitability Claims Aug 22, 2009

Events

• ABA Securities Fraud Conference Nov 13, 2014

• Securities Enforcement Forum 2014 Oct 14, 2014

• SEC's Whistleblower Provisions of the Dodd-Frank Act Aug 05, 2014

• High Frequency Trading Roundtable Jun 24, 2014

• Supreme Court Securities Litigation Roundup: Developments and Trends May 21, 2014

• High-Frequency Trading Enforcement Webinar May 08, 2014

• Securities Docket - Cybersecurity and Financial Firms - Bracing for the Regulatory Onslaught May 01, 2014

• Brown Bag Lunch: The New Cop in Town: The SEC's Aggressive New Enforcement Agenda and its Impact on Housing Finance Mar 12, 2014

• It Pays To Blow the Whistle: SEC Announces Third Whistleblower Award of $14 Million Nov 18, 2013

• Securities Enforcement Forum 2013 Oct 09, 2013

• Fund Governance Summit Oct 02, 2013

• SEC Sets New Social Media Disclosure Rules: Is Your Company in Compliance? Jul 11, 2013

• The SEC's Wells Process Turns 40 Nov 27, 2012

• Securities Enforcement Forum 2012 Oct 18, 2012

• Investing in China: QFII, QDLP, Direct Investment, Compliance, and Exits Oct 15, 2012

• Compliance and Legal Society Charlotte Regional Seminar Sep 24, 2012

• American Council on Germany's 34th Annual Young Leaders Conference Jul 13, 2012

• Civil Litigation with State Entities: Trends in Mortgage Backed Securities-Based Litigation Jun 21, 2012

• 23rd Annual ACFE Fraud Conference & Exhibition Jun 18, 2012

Experience
•Engagement and lead partner for audit committee of a Fortune 150 company in an independent, international investigation and for interfacing with SEC Division of Enforcement in its investigation
•Engagement and lead partner for audit committee of a Chinese company in connection with an independent investigation and SEC Enforcement investigation.
•Engagement and lead partner for audit and investigations committee of the board of directors a transportation authority for an independent, internal investigation.
•Engagement and lead partner for major automotive manufacturer in connection with U.S. Attorney and SEC investigations.
•Engagement and lead partner for investment company in connection with SEC investigation.
•Engagement and lead partner for hedge fund in connection with SEC investigation.
•Represent investment firm in connection with investigation by the Consumer Financial Protection Bureau (CFPB).
•Engagement and lead partner for consulting firm in connection with commercial litigation.
•Engagement and lead partner for hedge fund in connection with ongoing advice relating to insider trading compliance.
•Engagement and lead partner for options trading firm and trader in connection with SEC Enforcement action for alleged Reg SHO (short selling) violations
•Engagement and lead partner for former head of mortgage finance in connection with a New York State Attorney General Investigation.
•Engagement and lead partner for investment banker in connection with multi-national LIBOR investigation.

Newsletter

FCPA Advisor

• Will Independent Directors Be on the Hook for Failure of Internal Controls in FCPA Cases? Jul 15, 2013

• Allianz To Pay $12.3M To Settle SEC's Bribery Allegations Dec 19, 2012

• DOJ and SEC Issue FCPA Guidance Nov 19, 2012

• FCPA Allegations Involving Customs Clearance in Kazakhstan Jun 11, 2012

• Lindsey Manufacturing's Conviction Overturned Dec 05, 2011

• With Publication of Final Guidance, UK Bribery Act to Go Into Effect on July 1, 2011 Apr 15, 2011

• U.K. Ministry of Justice Further Delays Implementation of Bribery Act Feb 03, 2011

Quorum

• Quorum: March 2014

 
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Bradley J. Bondi


New YorkNY 10281-0006




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