- White Collar Defense & Investigations
- Foreign Corrupt Practices Act (FCPA)
- Corporate Governance
- Commercial and Corporate Litigation
- Securities Litigation
- Tax Controversy
- FBAR and FATCA Compliance
- Financial Services
- Life Sciences
|Contact Info||Telephone: 609.750.2641|
|University ||College of William & Mary, B.A.|
|Law School||Brooklyn Law School, J.D.; University of Baltimore School of Law, LL.M.|
|Admitted||1986, New Jersey; 1987, New York|
American Bar Association
|Military||Capt., U.S. Army JAGC, 1987-1990|
Carlos F. Ortiz is a seasoned trial lawyer with significant white collar defense and investigations experience. He uses his prominent fifteen-year background as a federal prosecutor to assist clients with matters relating to the Foreign Corrupt Practices Act (FCPA), allegations of fraud against government agencies and financial institutions, securities and healthcare fraud, as well as high-risk tax controversies.
Mr. Ortiz has a keen understanding of the complexities and nuances involved when corporations and financial institutions need to conduct internal investigations, address issues of corporate governance, or face civil regulatory and criminal exposure. His practice includes advising corporations and their boards of directors and committees in connection with corporate governance and compliance matters.
He has conducted numerous domestic and international internal investigations on behalf of companies in the financial services, pharmaceutical, healthcare, aerospace, energy, and telecommunications industries. He has extensive experience representing corporations and individuals in connection with matters before enforcement and regulatory agencies including the U.S. Department of Justice, the SEC, and various State Attorney General's Offices. He also has significant experience assisting companies in efficiently responding to subpoenas, thereby minimizing any disruption to their business operations. Additionally, he has represented several accounting firms in grand jury and SEC investigations involving both the preparation of tax returns and their audit practice.
Mr. Ortiz is known for his ability to lead and coordinate teams in a wide variety of complex matters affecting corporations and financial institutions, including due diligence related to mergers and acquisitions. He was also part of the team working with Senator George J. Mitchell in connection with his independent investigation of performance enhancing substance use in Major League Baseball.
While at the U.S. Attorney's Office for the District of New Jersey, he served as Deputy and Acting Chief of the Criminal Division, where he supervised eight criminal litigation units-government fraud, commercial crime, securities and healthcare fraud, terrorism, violent crimes, OCDETF and money laundering, public protection, and the Organized Crime Strike Force. He also served as the Chief of the Government Fraud Unit, overseeing the work of approximately 80 Assistant U.S. Attorneys.
During his tenure as a federal prosecutor, Mr. Ortiz tried approximately 20 jury trials in federal court, the majority involving criminal tax offenses. He also served as the international coordinator where he worked closely with the Department of Justice's Office of International Affairs in all matters involving international prosecutions. Mr. Ortiz was also responsible for conceptualizing and leading a global financial investigation resulting in the breakup of a massive international network of Internet-based commercial money laundering and child pornography rings. In the course of that investigation, he coordinated the efforts of federal and international law enforcement agencies, banks, and credit card companies. Mr. Ortiz was honored at the White House by President Bush in May 2005, and received an award from the National Center for Missing and Exploited Children at a congressional breakfast, for his role in leading this groundbreaking international investigation.
He lectures extensively on topics involving financial crimes and trial advocacy in both the United States and Europe, and has been recognized as a Super Lawyer in the Super Lawyers listing from 2007-2008 and each year since 2010.
COMMUNITY SERVICE & AFFILIATIONS
Mr. Ortiz is the vice-chair of the International Anti-Corruption Committee of the ABA Section of International Law; trustee of the Association of Criminal Defense Lawyers of New Jersey; member and past president (2004) and executive board member (1994-2004) of the New Jersey Hispanic Bar Association; and co-founder and former vice president (1996) of the National Hispanic Prosecutor's Association. He was appointed by Governor Jon Corzine to serve as a commissioner on the New Jersey Advisory Committee on Police Standards from 2006-2008.
As a result of his efforts with the Department of Justice, he currently serves as pro bono counsel to the Financial Coalition Against Child Pornography, which is managed by the International Centre for Missing & Exploited Children and the National Center for Missing & Exploited Children.
Documents by this lawyer on Martindale.com
SEC FCPA Settlement Sends Wake-Up Call to Small and Medium-Sized Businesses
Mayling C. Blanco,Ariel S. Glasner,Carlos F. Ortiz,Shawn M. Wright, August 21, 2014
On July 28, 2014, Smith & Wesson Holding Corp. (“Smith & Wesson”), the firearms manufacturer based in Springfield, Massachusetts, agreed to resolve charges brought by the Securities and Exchange Commission (“SEC”) for violations of the Foreign Corrupt Practices Act...
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