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Joseph De Simone

Joseph De Simone

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Securities Investigations: Internal, Civil and Criminal

Securities Investigations: Internal, Civil and Criminal

Current Issues in Internal Corporate Investigations

Joe is an experienced, well-respected litigator whose practice is focused primarily on securities and regulatory disputes, internal corporate investigations, Sarbanes-Oxley compliance, complex arbitrations and general corporate litigation. According to Chambers USA 2015, Joe is a “highly regarded securities litigator” who is “well versed in a range of complex disputes” and “highlighted for his impressive client roster and expertise in cross-border work.” Previous editions have reported that Joe wins respect for a “business-oriented mentality” that helps to ease the passage of SEC investigations and securities-related disputes. . . . “he not only knows the law, he understands its impact.”

As co-leader of Mayer Brown’s Securities Litigation and Enforcement Action group, Joseph represents corporate and individual clients across a broad spectrum of civil, criminal, arbitral and investigative cases. These include:

Securities Litigation. Represents issuers, underwriters, and individual officers and directors in various federal securities class actions and derivative actions; counsels clients and boards of directors in connection with securities law issues.

SEC and AG Enforcement. Represents corporations and individuals in investigatory proceedings and civil enforcement actions brought by the SEC and state attorneys general.

Internal Corporate Investigations. Conducts and participates in internal corporate investigations on behalf of client management groups, audit committees, or special litigation committees in industry sectors such as banking, retail, Internet, technology, and broadcasting and communications.

Sarbanes-Oxley Compliance. Counsels companies and their officers and directors on Sarbanes-Oxley litigation and compliance issues.

Arbitrations. Arbitrates complex civil disputes in various arbitral venues, including the American Arbitration Association and ICC.

General Civil Litigation. Represents corporate and individual clients in federal and state courts in a variety of civil actions, including commercial actions, contract disputes, breaches of fiduciary duty, employment, intellectual property, and mergers and acquisitions litigation.

Pro Bono. Has successfully represented indigent clients in political asylum applications, a habeas corpus petition, death penalty litigation, and a special skills visa application; in 1998, received the Thurgood Marshall Award from the Association of the Bar of the City of New York for death penalty litigation; in 2004, received the Legal Aid Society’s Pro Bono Publico Award for outstanding work on a successful habeas corpus petition.

Between 1998 and 1999, Joseph sustained an active teaching role as Supervising Attorney for the Columbia Law School’s Political Asylum Clinic. He lectured Columbia law students in seminars and supervised a student subgroup during the course of a successful political asylum application in US Immigration Court.

Prior to joining Mayer Brown in 2000, Joseph worked for another prominent law firm. Earlier, he served as Law Clerk to the Honorable Joseph McLaughlin, US Court of Appeals for the Second Circuit (1994–1995).

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