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, Busybox.com; 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, PurchasePro.com; 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.
