(NEW YORK, June 12, 2014)--Robert M. Appleton, a veteran U.S. federal government and United Nations prosecutor who has pursued many corruption charges and white-collar and financial fraud cases on both the national and international levels, has joined Day Pitney's White Collar and Internal Investigations practice as partner. He is based in the firm's New York office.
Mr. Appleton has served in national and international leadership positions, more recently, in the United Nations and also as Director of Investigations in the Geneva-based Global Fund To Fight AIDS, Tuberculosis and Malaria, the world's largest health financier. He has also served as a supervisory Assistant United States Attorney, in the U.S. Department of Justice, Office of the U.S. Attorney for the District of Connecticut, for more than 13 years.
"Bob Appleton has a profound depth of knowledge and experience in white-collar litigation and global anti-fraud and bribery investigations," said Day Pitney managing partner Stanley A. Twardy, Jr. "We are thrilled to have him as part of our team."
Mr. Appleton has extensive high-level national and international experience in the areas of litigation, forensic examinations, anti-corruption and internal investigations, with an emphasis on Anti-Money Laundering (AML), anti-Fraud, Bank Secrecy Act (BSA), Foreign Corrupt Practices Act (FCPA), and international trade, export and embargo issues, as well as complex white collar fraud and corruption cases. He has appeared in multiple national and international jurisdictions, with trial experience in international arbitration and dispute tribunals and in U.S. courts. He has tried more than 30 cases to a jury in federal courts in the U.S. as lead or sole counsel and has briefed and argued more than 20 appeals before the U.S. Court of Appeals for the Second Circuit.
Mr. Appleton also has deep experience conducting, managing and supervising internal investigations and forensic examinations of major international financial institutions and Fortune 100 companies, international institutions and their officers, NGOs, the United Nations and a former Secretary-General, and foreign government agencies and officials. In 2005, he served as Special Counsel to former US Federal Reserve Chairman Paul Volcker at the Independent Inquiry Committee into the Iraqi Oil for Food investigation. In 2008, Mr. Appleton was selected by the UN Secretary General to serve as Chairman of the United Nations Anti-Fraud Task Force, a first of its kind internal anti-corruption unit designed to address corruption issues within the UN, including with respect to commercial entities that engage in the more than $6 billion in annual commercial activity with the UN.
He is currently representing large international corporate clients and individual corporate officers in international arbitration and before international administrative tribunals, including the United Nations.
"We are excited to have Bob join our deep bench of white collar defense and internal investigations lawyers," said Helen Harris, head of Day Pitney's White Collar and Internal Investigations practice. "Our team is representing clients on a wide range of enforcement matters and investigations and we look forward to adding his tremendous experience."
About Day Pitney
Day Pitney LLP is a full-service law firm with close to 300 attorneys in Boston, Connecticut, New Jersey, New York, and Washington, DC. The firm offers clients strong corporate and litigation practices, with experience on behalf of large national and international corporations as well as emerging and middle-market companies and individuals.
Day Pitney Newsletter
Stanley A. Twardy, Jr. co-authored an article, "Fokker and Its Aftermath: The Irony and the Legacy," for the Law Journal Newsletter's Business Crimes Bulletin. The article is about the case United States v. Fokker Services B.V., which represents the first time that a federal court rejected a deferred prosecution agreement between the Department of Justice and corporate defendants in a criminal matter.
On November 13, Bob Appleton will speak at the Society of Corporate Compliance and Ethics’ (SCCE) Boston Regional Compliance & Ethics Conference at the Omni Parker House. He will discuss economic sanctions and their applicability to US Companies.
Bob Appleton wrote an article, “Reflections on the Yates Memo,” for Ethikos. The article addresses how the Memo re-emphasizes the Department of Justice's enhanced focus on holding corporate executives accountable for corporate wrongdoing in both criminal and civil cases and how the increased regulatory attention may have implications for businesses.
Bob Appleton was quoted in an article,"DOJ's Newman Stance May Aid Foes In Next High Court Fight," in Law360. Appleton comments on how nearly a year after the Second Circuit reshaped the insider trading landscape with its landmark Newman decision, an Illinois man has made a long-shot bid to get the U.S. Supreme Court to weigh in on the issue by fighting a Ninth Circuit decision to uphold his conviction for insider trading, citing many of the same claims made by the Government who failed to get the Supreme Court to take the Newman case.
Bob Appleton was quoted in an article, "Former Deutsche Bank Broker Secures Individual DPA with US Prosecutors," in Global Investigations Review. The article explores whether a decision by prosecutors to grant a deferred prosecution agreement (DPA) in a case involving an illegal tax shelter scheme was compatible with guidelines set out by the Yates Memo. Appleton said the Yates policy requires prosecutors to consider bringing cases against individuals, "but certainly does not require that they insist on a criminal conviction in all cases."
Eliza Fromberg was quoted in an article, “New SEC Rules Work the Crowd for Funds,” in Corporate Counsel. Fromberg discusses the impact of the Securities and Exchange Commission’s decision to permit issuers seeking to raise more than $500,000 through crowdfunding to obtain reviewed – rather than fully audited – financial statements for their first crowdfunding offering.
Bob Appleton was quoted in an article, “Bharara Wins a PR Victory After Bruising Newman Loss.” The article examines the decision of U.S. Attorney Preet Bharara in exonerating six cooperating witnesses after the Supreme Court refused to hear the government’s appeal of U.S. v. Newman. In the article, Appleton states that resistance to waiving the witnesses' guilty pleas could have had an effect on future cases.
New York, NY September 29, 2015 - Day Pitney is pleased to announce that it has been selected for the GIR 100, an independent guide to the world's leading law firms for international investigations, compiled by the U.K.-based publication Global Investigations Review.