Daniel S. Ruzumna: Lawyer with Patterson Belknap Webb & Tyler LLP

Daniel S. Ruzumna

Phone212-336-2034

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Experience & Credentials
 

Practice Areas

  • White Collar Defense and Investigations
  • False Claims Act and Whistleblower Defense
  • Privacy and Data Security
  • Complex Commercial Actions
  • Media
  • Entertainment and Sports
  • Securities and Derivatives Litigation
  • Structured Finance Litigation
  • Financial Services
  • Life Sciences / Health Care
 
University University of Michigan School of Literature, Science, and Arts, B.A., History, graduated with high distinction, 1991
 
Law SchoolUniversity of Michigan School of Law, J.D., cum laude, 1994 Note Editor, Michigan Law Review, Bodman-Longley Award
 
Admitted1994, Illinois; New York; District of Columbia; U.S. District Court, Southern and Eastern Districts of New York; District of Columbia; U.S. Court of Appeals, Second Circuit
 
Memberships 

Professional Activities

MEMBERSHIPS: Counsel to the Anti-Money Laundering and Financial Crimes Committee of the Securities Industry and Financial Markets Association (SIFMA); New York State Bar Association (Section of Commercial and Federal Litigation, Committee on White Collar Criminal Litigation); Recognized in Chambers USA in the area of Litigation: White-Collar Crime and Government Investigations; Listed as a Future Star for New York in Euromoney Institutional Investor PLC's Benchmark: America's Leading Litigation Firms and Attorneys; Recognized in The Best Lawyers in America in the area of Criminal Defense: White Collar

 
Biography

Daniel Ruzumna is a partner in the firm's Litigation Department and leads its White Collar Defense and Investigations Group. Mr. Ruzumna is also a member of the firm's False Claims Act and Whistleblower Defense Team, Privacy and Data Security Team, and Structured Finance Litigation Team. He has extensive trial and appellate experience, having served as lead counsel in numerous jury trials and arbitrations and having briefed and argued nearly a dozen cases before federal and state courts of appeal.

Mr. Ruzumna's practice focuses on the areas of white collar criminal defense and related regulatory proceedings, internal investigations, asset forfeiture proceedings, and complex financial litigation. He has represented corporations and individuals in many recent high-profile criminal and regulatory investigations involving alleged violations of the securities laws, antitrust laws, tax laws, and Foreign Corrupt Practices Act. Mr. Ruzumna regularly conducts confidential investigations on behalf of clients, including a professional sports league, a university, financial firms, and media and entertainment companies. He has also represented private equity, media, and telecommunications clients in complex financial litigations and international arbitrations. His extensive trial experience has earned him a Future Star recognition by Euromoney Institutional Investor PLC's Benchmark: America's Leading Litigation Firms and Attorneys, and has recently been recognized by Chambers USA in the area of white-collar criminal defense and investigations. The guide notes that Mr. Ruzumna “earns praise for his ability to handle both criminal and civil disputes.” Mr. Ruzumna has also been named by Super Lawyers in the area of Criminal Defense: White Collar.

Mr. Ruzumna is a frequent commentator on issues of criminal law, investigations, and asset forfeiture, and is often interviewed for television and newspaper stories on white collar criminal issues. He recently appeared on Bloomberg Television and an affiliate of CNBC to discuss the insider trading laws and recent prosecutions involving alleged violations of the securities laws. Mr. Ruzumna also serves as counsel to the Anti-Money Laundering and Financial Crimes Committee of the Securities Industry and Financial Markets Association (SIFMA), with a focus on anti-corruption compliance issues.

Before joining Patterson Belknap in 2005, Mr. Ruzumna spent six years working at the United States Attorney's Office for the Southern District of New York, where he last served as Acting Chief of the Major Crimes Unit, a unit of more than 20 federal prosecutors dedicated to investigating and prosecuting economic crimes and financial frauds. As a federal prosecutor, Mr. Ruzumna investigated and prosecuted white collar criminal cases involving bank fraud, mail and wire fraud, health care fraud, securities fraud, criminal tax violations, and money laundering. He also prosecuted organized crime and handled civil and criminal asset forfeiture actions. In 2004, Mr. Ruzumna received the Department of Justice's highest honor, the John Marshall Award for Asset Forfeiture, and acted as a lecturer and instructor of trial advocacy at the Department's National Advocacy Center.

After graduation from law school, Mr. Ruzumna served as a Law Clerk to the late Hon. Jay C. Waldman, United States District Court for the Eastern District of Pennsylvania. Mr. Ruzumna then spent almost four years in private practice in Washington, D.C., before becoming a federal prosecutor.

Recent Publications

•Co-Author, “ A 1st Look At Potential Reach Of 2nd Circ. Newman Decision, ” Law360 (January 28, 2015)
•Co-Author, “Relief for Victims and Third Parties Through Asset Forfeiture, ” Inside Counsel (August 2012)
•Co-Author, “As a matter OFAC: What every company should know about complying with theagency's complicated sanctions programs, ” Inside Counsel (June 2012)
•“Q&A With Patterson Belknap's DanielRuzumna, ” Law360 (December 13, 2010)

Representative Matters

White Collar Defense and Regulatory Enforcement

Defense of a major pharmaceutical company in connection with a U.S. Department of Justice investigation and False Claims Act litigation regarding alleged violations of the Anti-Kickback Statute.

Defense of a pharmaceutical manufacturer accused of off-label marketing in a False Claims Act action and the successful defense of an order dismissing the action before the U.S. Court of Appeals for the Fourth Circuit.

Defense of an insurance brokerage firm charged with mail and wire fraud and ERISA violations by the U.S. Department of Justice relating to its receipt of contingent commissions and other compensation from insurance carriers.

Representation of a promotion/marketing company of tax-avoidance strategies in a U.S. Department of Justice investigation into allegedly unlawful tax shelters.

Defense of not-for-profit foundation in connection with civil asset forfeiture proceedings through which the U.S. Department of Justice seeks to forfeit assets valued at more than $300 million.

Representation of a leading “expert network” research firm in connection with insider trading and Martin Act investigation by the U.S. Department of Justice and the N.Y. Attorney General's Office.

Defense of a cleaning and maintenance company charged with fraud and record keeping violations by the N.Y. County District Attorney's Office.

Defense of a “placement agent” firm in connection with investigations and an enforcement action conducted by federal and state securities regulators of the firm's allegedly unlawful ties to state pension fund officials.

Representation of a not-for-profit organization threatened with debarment in connection with a U.S. Department of Justice and U.S. Department of the Interior investigation into the organization's receipt and use of federal grant money.

Representation of a senior executive of an international retail chain in an investigation by the U.S. Department of Justice and Securities and Exchange Commission of alleged Foreign Corrupt Practices Act violations in Mexico and related derivative and shareholder actions.

Representation of the chief executive officer of a telecommunications company in connection with alleged violations of the Foreign Corrupt Practices Act.

Representation of an executive at an international airline in connection with the U.S. Department of Justice investigation into alleged price-fixing in setting fuel surcharges.

Defense of the administrator of certified home health agency in connection with a N.Y. Attorney General investigation of alleged Medicaid fraud.

Defense of an American architect facing federal charges of wire fraud and conspiracy and in connection with extradition proceedings brought on behalf of a foreign government.

Counseling and advisory work to an international insurance company regarding criminal forfeiture issues.

Internal Investigations

Representation of a university in connection with a data breach that resulted in hundreds of highly-confidential documents being leaked to a local newspaper and stories being run on the basis of the leaked materials.

FCPA investigation on behalf of a U.S.-based educational institution with operations in the Middle East regarding potential facilitation payments by third party contractors to foreign officials.

Investigation on behalf of an international media company in connection with alleged improprieties in its performance and billing of a U.S. government contract to provide services.

Investigations on behalf of a professional sports league into alleged “tampering” by one member club with a player under contract with another club, and into alleged “circumvention” of the league's rules regarding its salary cap by member clubs.

Investigation on behalf of a not-for-profit foundation into whether a senior employee had engaged in conduct that breached his fiduciary duties to the foundation.

Investigation on behalf of a foreign private equity firm regarding accusations that a principal was engaged in unlawful practices using the firm's facilities.

Investigation on behalf of a national law firm regarding alleged mishandling of a client representation.

Complex Commercial Litigation

Defense of a health care company in three related False Claims Act actions in different jurisdictions; the relevant courts dismissed the actions and one court awarded attorney's fees.

Defense of a pharmaceutical manufacturer against False Claims Act claims brought by the Department of Justice alleging anti-kickback statute violations; the case resulted in a favorable settlement for the client.

Defense of a pharmaceutical manufacturer in a False Claims Act case involving allegations of off-label promotion; the district court dismissed all claims and the decision was affirmed on appeal.

Prosecution of breach of fiduciary duty and other claims on behalf of a Latin American telecommunications company against former controlling shareholder and managers relating to the theft of corporate opportunities and assets valued at hundreds of millions of dollars; by way of settlement, the company recovered the majority of the value of the contested assets.

Defense of a foreign corporation in breach of contract action involving complex issues of foreign law and the application of conflict of laws principles; the client achieved a favorable settlement.

Representation and counseling of a foreign private equity firm in connection with disputes with co-investors regarding ownership and control of jointly-owned assets; negotiations resulted in a favorable outcome after mediation.

Defense of bankers in federal litigation alleging $750 million in damages arising out of the collapse of the subprime mortgage Collateralized Debt Obligations market; the case was resolved without liability to the clients.

Representation of financial adviser subject to litigation and arbitration arising from alleged misappropriation of assets, churning, and unsuitability claims; the case was resolved without liability to the client.

Media & Speaking Engagements

Presenter, “Building a Global Anti-Corruption Program, ” SIFMA Anti-Money Laundering & Financial Crimes Conference (February 24, 2015).
“Insider Trading Liability After United States v. Newman, ” West LegalEdcenter Webcast (February 10, 2015).
Commentator on CNBC India's in-depth news television program, The Firm, entitled “Tapes, Lies and Video Tape, ” regarding insider trading laws and the use of expert network research firms, May 2011.
Commentator on Bloomberg Television's Inside Track regarding the investigation and prosecution of United States v. Raj Rajaratnam, and other insider trading cases, April/May 2011. April 2011 May 2011
Interviewee, Law360: Q&A on White Collar Criminal Practice, Dec. 2010.
Presenter, C2C Forum: Balancing Strategy, Success & Risk in a Time of Increased Scrutiny, Economic Uncertainty and Fast-Paced Change, Sept. 2010.
Panelist, New York State Bar Assn.: Financial Penalties and Victims' Rights in White Collar Cases, Nov. 2009.
Speaker, ACI's Nat'l. Conference: Internal Investigations for the Drug & Device Industries, June 2008.
Quoted in The Wall Street Journal, The New York Times, Reuters, The Independent, and Paris Match, among other publications, on financial crimes and other legal matters.

Publications

December 8, 2015 Second Circuit Reverses Conviction in Bond Market Misrepresentation Case, but Endorses Government Theory of Materiality July 2015 Remijas v. Neiman Marcus: Seventh Circuit Affords Broad Standing To Sue Over Consumer Data Breaches January 2015 District Court Vacates Insider Trading Guilty Pleas in Misappropriation Case in Light of Landmark Newman Decision July 2014 Appeals Court Confirms that Results of Internal Investigation are Privileged June 2014 FDA Promises Guidance on Lawful Off-Label Promotion May 2014 FCPA Update: Eleventh Circuit Defines Instrumentalities of Foreign Governments March 2014 U.S. District Court Rules that Results of Internal Investigations Conducted in the Ordinary Course of Business are Not Privileged and Must be Produced to Whistleblower January 2013 Second Circuit Declares Off-Label Promotion Ban Unconstitutional: Implications for False Claims Act Defendants November 2012 Foreign Corrupt Practices Act Guide Issued by DOJ and SEC August 2012 Inside Counsel Article Series February 2012 In FCA Case, Court Finds Civil Penalties Would be Unconstitutional January 2012 Proposed Bill to Allow Private Enforcement of the FCPA February 28, 2011 Supreme Court To Decide Scope of FCA Public Disclosure Bar February 2, 2011 Recent Developments in the New York False Claims Act December 13, 2010 Q&A With Patterson Belknap's Daniel Ruzumna May 25, 2010 U.S. Supreme Court Unanimously Decides American Needle v. National Football League January 2010 American Needle v. National Football League

News

October 16, 2015 Firm Achieves Top Rankings in New York and Nationwide in Benchmark Litigation 2016 Guide More May 21, 2015 Patterson Belknap Attorneys Increase Recognition in Chambers USA 2015 More October 27, 2014 Firm Achieves Top Rankings in New York and Nationwide in Benchmark Litigation 2015 Guide More August 18, 2014 William F. Cavanaugh, Jr., named NYC Best Lawyers Litigation - Antitrust Lawyer of the Year More May 29, 2014 Patterson Belknap Receives Increased Recognition in Chambers USA 2014 More November 1, 2013 Firm Attorneys Increase Recognition in Best Lawyers in America More October 30, 2013 Firm Wins Top Rankings in Benchmark Litigation 2014 Guides More May 24, 2013 Firm Attorneys and Practices Increase Recognition in Chambers USA 2013 More January 22, 2013 PBS's ”Frontline” Notes Firm's Leading Role in Financial Litigation More January 16, 2013 Patterson Belknap Secures False Claims Act Win for Pharmaceutical Client More October 17, 2012 Firm Litigation Practice Wins Top Ratings in Benchmark Litigation 2013 Guides More July 23, 2012 White Collar Defense Group Publishes OFAC Article More June 7, 2012 Firm Continues to Increase Recognition In Chambers USA More November 22, 2011 Firm Wins Top Ratings in Benchmark Litigation 2012 and Benchmark Appellate 2012 More August 15, 2007 Firm Forms Subprime Mortgage Practice Team More August 29, 2005 Daniel S. Ruzumna Becomes Counsel to the Firm More July 28, 2005 Firm Represents SONY BMG MUSIC ENTERTAINMENT in Settlement with New York State Attorney General Eliot Spitzer More June 7, 2005 Firm Attorneys Present at Spring Legal Update 2005

Bar Fellowship: May 2011

Interviewee, Law360: Q&A on White Collar Criminal Practice , Dec. 2010.

Presenter, C2C Forum: Balancing Strategy, Success & Risk in a Time of Increased Scrutiny, Economic Uncertainty and Fast-Paced Change, Sept. 2010.

Panelist, New York State Bar Assn.: Financial Penalties and Victims' Rights in White Collar Cases, Nov. 2009.

Speaker, ACI's Nat'l. Conference: Internal Investigations for the Drug & Device Industries, June 2008.

Quoted in The Wall Street Journal, The New York Times, Reuters, The Independent, and Paris Match, among other publications, on financial crimes and other legal matters.

Related Publications
July 2014
Appeals Court Confirms that Results of Internal Investigation are Privileged
June 2014
FDA Promises Guidance on Lawful Off-Label Promotion
May 2014
FCPA Update: Eleventh Circuit Defines Instrumentalities of Foreign Governments

News
October 2014
Firm Achieves Top Rankings in New York and Nationwide in Benchmark Litigation 2015 Guide
August 2014
William F. Cavanaugh, Jr., named NYC Best Lawyers Litigation - Antitrust Lawyer of the Year
May 2014
Patterson Belknap Receives Increased Recognition in Chambers USA 2014

 
ISLN909955029
 
Transactions 

Professional Activities
Member, New York State Bar Association (Section of Commercial and Federal Litigation, Committee on White Collar Criminal Litigation); Listed as a Future Star for New York in Euromoney Institutional Investor PLC's Benchmark: America's Leading Litigation Firms and Attorneys; Recognized in The Best Lawyers in America in the area of Criminal Defense: White Collar

 

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District Court Vacates Insider Trading Guilty Pleas in Misappropriation Case in Light of Landmark Newman Decision
Jared S. Buszin,Daniel S. Ruzumna,Harry Sandick, March 23, 2015
On January 22, 2015, a district judge in the Southern District of New York vacated previously accepted guilty pleas in an insider trading prosecution brought under the “misappropriation” theory. The district court’s short order provides an initial look at the potential reach of...
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Office Information

Daniel S. Ruzumna

1133 Avenue of the Americas
New YorkNY 10036-6710




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