In-House Counsel Under Scrutiny

To read this month's cover story on in-house counsel crackdown, click here.

The following in-house counsel have faced enforcement actions by the DOJ or the SEC in the past five years:

Found Guilty

  • Robert Graham; Assistant GC, General Re Corp; Securities fraud
  • Michael J. Pietrzak; GC and CFO, Hexagon Consolidated Cos. of America; Securities fraud
  • Peter Atkinson; EVP, GC, Hollinger Inc.; Mail and tax fraud
  • Mark Kipnis; Chief corporate counsel, Hollinger Inc.; Mail fraud
  • Bruce Hill; GC, Inso Corp.; Perjury (jury deadlock on securities and wire fraud)
  • Chris Gunderson; GC, Universal Express Inc.; Securities fraud
  • Anne Hovis; GC, Phlo Corp.; Aiding/abetting SEC violations
  • Mitchell Drucker; Associate GC, NBTY Inc.; Insider trading
  • Kevin Heron; GC, Amkor Technology; Insider trading
  • Charles Spadoni; GC, Triumph Capital Group; Racketeering, theft/bribery

Settled or Pleaded Guilty

  • Scott Lodin; GC, Andrx Corp.; SEC violations
  • Thomas Bucknum; GC, Biogen Idec Inc.; Insider trading
  • Jane Kober; GC, Biopure Corp.; Securities fraud
  • Jon Bloodworth; GC,; IPO fraud
  • Steven Woghin; GC, Computer Associates International; Conspiracy/securities fraud, obstruction of justice
  • William Sorin; GC, Comverse Technology, Inc.; Conspiracy/securities, mail, wire fraud
  • John Isselmann Jr.; GC, Electro Scientific Industries Inc.; SEC violations
  • Craig Scott; CFO and GC, FFP Marketing Company Inc.; Securities fraud
  • Jonathan Orlick; GC, Gemstar-TV Guide International; Securities fraud
  • David Drummond; GC, Google, Inc.; SEC violations
  • Kevin Hunsaker; Senior Counsel/Chief Ethics Officer, Hewlett-Packard Co.; Fraudulent wire communications
  • James Moen; GC, Katun Corp.; Wire fraud/computer-related fraud
  • Myron Olesnyckyj; GC, Monster Worldwide; Options backdating
  • Randi Collotta; Associate, Global Compliance Division, Morgan Stanley; Conspiracy/securities fraud (insider trading)
  • Steven Hunt; President/GC, Southmark Advisory Inc.; SEC violations
  • Leonard Goldner; EVP/GC, Symbol Technologies, Inc.; Conspiring to obstruct the IRS, securities fraud
  • Kenneth Selterman; GC, Take-Two Interactive Software Inc.; Options backdating
  • Howard Udell; CLO, The Purdue Frederick Company, Inc.; Misbranding a drug
  • Stanley Silverstein; GC, The Warnaco Group, Inc.; SEC violations
  • David Klarman; GC, U.S. Wireless Corp.; Mail fraud, money laundering, SEC violations
  • Andrew Marks; Chief Patent Counsel, Vertex Pharmaceuticals, Inc.; Insider trading
  • Fred Stone; GC, Millennium Management; Fraudulent market timing
  • Herbert Getz; GC, Waste Management Inc.; Securities fraud

Acquitted or Charges Dismissed

  • Scott Monson; GC, JB Oxford Holdings, Inc.; Late trading
  • Scott Wiegand; GC,; Conspiracy, Securities fraud
  • Mark Belnick; Chief Corporate Counsel, Tyco International; Fraud
  • Jay Lapine; GC, HBO & Co.; Acquitted on one charge of securities fraud, mistrial declared on six other counts.
  • Daniel Adkins; GC, Xpress Pharmacy Direct; Various charges related to running an illegal Internet pharmacy

Indicted or Charged; Cases Pending

  • Nancy Heinen; GC, Apple Inc.; Options backdating
  • Jilaine Bauer; GC, Heartland Advisers Inc.; Insider trading
  • Lisa C. Berry; GC, Juniper Networks Inc.; Options backdating
  • Kent Roberts; GC, McAfee Inc.; Options backdating
  • Susan Skaer; GC, Mercury Interactive; Options backdating
  • Eric Deller; GC, Peregrine Systems Inc.; Aiding/abetting fraud
  • Richard T. Nelson; GC, Peregrine Systems Inc.; Securities fraud
  • W. Roderick Johnson Sr.; GC, Rocky Mountain Energy Corp.; Securities fraud
  • Christi Sulzbach; GC, Tenet Healthcare Corp.; Securities fraud
  • Eric Jaeger; EVP-Corporate Affairs; GC, Cabletron Systems Inc.; Securities fraud
  • Jordan Mintz; GC, Enron Corp.'s Global Finance Group; Securities fraud
  • Rex Rogers; Associate GC, Enron Corp.; Securities fraud
  • David Dull; GC, Broadcom Corp.; Options backdating

Source: American Bar Association Section Committee on Corporate Counsel, October 2007; updated with information from the SEC and DOJ.

Staff Writer

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