FacultyFaculty/Author Profile
Steven R. Peikin

Steven R. Peikin

Sullivan & Cromwell LLP

New York, NY, USA


Steven Peikin is Deputy Managing Partner of Sullivan & Cromwell’s Criminal Defense and Investigations Group. His practice focuses on white-collar criminal defense, regulatory enforcement, and internal investigations. He has represented institutions and individual clients in high-profile matters, including those involving alleged violations of the federal securities and commodities laws, FCPA matters, price fixing, violations of economic sanctions, and tax and money laundering offenses.

Mr. Peikin has tried more than 20 criminal jury cases in federal court and argued many appeals before the U.S. Court of Appeals for the Second Circuit.

He has been regularly recognized by peer and industry publications for excellence in white-collar criminal defense and government investigations.

Mr. Peikin is Adjunct Professor of Law at New York University Law School, where he teaches the criminal enforcement of the securities and commodities laws.

Selected Representations

Mr. Peikin has represented clients in virtually all of the major white-collar criminal and regulatory enforcement initiatives that have occurred in recent years. Recent representations include the following:
  • Barclays Bank plc in the investigation and resolution with the DOJ, CFTC, and U.K. FSA of matters relating to LIBOR and other benchmark interest rates
  • The Goldman Sachs Group, Inc. and numerous of its directors and senior executives in civil and criminal insider trading proceedings against one of its former directors
  • A major international oil company in DOJ and SEC investigations of possible FCPA violations
  • Fiat S.p.A., Akzo Nobel N.V., and Vitol, S.A. in investigations and resolutions relating to their participation in the UN Oil-for-Food Program
  • Barclays Bank plc in the investigation and resolution with the DOJ, New York County District Attorney, OFAC, and bank regulators of violations of economic sanctions laws
  • BP in the investigation and resolution with the DOJ and the CFTC of commodities manipulation charges 
  • Numerous senior executives in a wide variety of investigations by the DOJ, SEC, and/or CFTC involving alleged insider trading, front-running, market manipulation, price fixing, and FCPA violations
Government Service

From 1996 to 2004, Mr. Peikin served as an Assistant United States Attorney in the Southern District of New York. He was Chief of the Office’s Securities and Commodities Fraud Task Force, where he oversaw 40 prosecutors, investigators, and staff responsible for some of the nation’s highest-profile financial statement fraud, insider trading, and obstruction of justice cases, as well as a large undercover investigation of fraud in the foreign exchange markets.

As a prosecutor, Mr. Peikin also investigated and prosecuted a wide variety of securities, commodities, and other investment fraud schemes; an insider trading and money laundering case that resulted in the seizure and repatriation of $200 million; and cases involving racketeering, murder, and other violent crimes.

Professional Activities and Community Involvement
  • Adjunct Professor of Law, NYU Law School (2011-present) 
  • Member, Criminal Justice Act Panel, U.S. District Court for the Southern District of New York (2006-present) 
  • Visiting Instructor, Harvard Trial Advocacy Workshop (2009) 
  • Frequent presenter to bar associations and professional organizations on issues relating to securities and commodities fraud and internal investigations, including the ABA, New York City Bar, Federal Bar Council, and PLI 
  • Vice-President, Center for Hearing and Communication, a nonprofit rehabilitation and human services agency for the deaf and hard of hearing
Rankings and Recognitions
  • Chambers USA: America’s Leading Lawyers for Business – recognized as a leader for White-Collar Crime & Government Investigations (2007-2013)
  • The Legal 500 U.S., Volume 3: Litigation – Recommended Lawyer for White-Collar Criminal Defense (2007, 2009-2011)
  • The Best Lawyers in America – recognized for White-Collar Criminal Defense and Litigation (2008-2012)
  • New York Super Lawyers – recognized for Criminal Defense: White Collar (2007-2013) 
  • Lawdragon 500: New Stars, New Worlds – named as one of the top 500 up-and-coming lawyers in America (June 2006)
  • The National Law Journal – selected as one of 40 top lawyers under age 40 in the United States in the publication’s annual “40 Under 40” ranking (May 2005)
  • Recipient, 2009 Burton Award for Legal Achievement 
  • Euromoney’s Benchmark: America’s Leading Litigation Firms and Attorneys (New York) – cited as a rising star in Litigation (2009-2012)
Education

1991, Harvard Law School, J.D.
1988, Yale University, B.A.
Steven R. Peikin is associated with the following items:
Course Handbooks  Course Handbooks White Collar Crime 2013: Prosecutors and Regulators Speak
White Collar Crime 2014: Prosecutors and Regulators Speak
Web Segment  Web Segment Case Study: Investigations of Libor and Benchmark Interest Rates - White Collar Crime 2013: Prosecutors and Regulators Speak , Wednesday, October 09, 2013
Commencing the Investigation: Considerations at the Outset - Internal Investigations 2014 , Friday, June 27, 2014
MP3 Audio  MP3 Audio White Collar Crime 2013: Prosecutors and Regulators Speak - Case Study: Investigations of Libor and Benchmark Interest Rates - Case Study: Investigations of Libor and Benchmark Interest Rates , Wednesday, October 09, 2013
Internal Investigations 2014 - Commencing the Investigation: Considerations at the Outset - Commencing the Investigation: Considerations at the Outset , Monday, June 30, 2014
Transcripts  Transcripts Case Study: Investigations of Libor and Benchmark Interest Rates - Case Study: Investigations of Libor and Benchmark Interest Rates , Wednesday, October 09, 2013
Commencing the Investigation: Considerations at the Outset - Commencing the Investigation: Considerations at the Outset , Friday, June 27, 2014
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg White Collar Crime 2013: Prosecutors and Regulators Speak - Case Study: Investigations of Libor and Benchmark Interest Rates - Case Study: Investigations of Libor and Benchmark Interest Rates , Wednesday, October 09, 2013
Internal Investigations 2014 - Commencing the Investigation: Considerations at the Outset - Commencing the Investigation: Considerations at the Outset , Monday, June 30, 2014
On-Demand Web Programs  On-Demand Web Programs White Collar Crime 2013: Prosecutors and Regulators Speak , Tuesday, October 15, 2013 , New York, NY
Internal Investigations 2014 , Tuesday, July 08, 2014 , New York, NY
CHB Chapters  CHB Chapters Internal Investigations Do’s and Don’ts: Ten Lessons from Real World Cases - Internal Investigations 2014 , Tuesday, June 10, 2014
In the Matter of JPMorgan Chase Bank, N.A., JPMorgan Bank and Trust Company, N.A., Chase Bank USA, N.A., AA-EC-13-109, Consent Order for the Assessment of a Civil Money Penalty - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
U.S. v. BNP Paribas S.A., Plea Agreement - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
In the Matter of BNP Paribas, S.A., Consent Order Under New York Banking Law § 44 - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
Re U.S. v. BNP Paribas S.A., Settlement Agreement - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
Re U.S. v. S.A.C. Capital Advisors, L.P., et al., 13 Cr. 541 (LTS) and U.S. v. S.A.C. Capital Advisors, L.P., et al., 13 Civ. 5182 (RJS), Plea Agreement - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
ACAMS AML Risk Management Conference: Prepared Remarks of U.S. Attorney Preet Bharara - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
In the Matter of JPMorgan Chase Bank, N.A., No. 2014-1, Assessment of Civil Money Penalty - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
Re JPMorgan Chase Bank, N.A.— Deferred Prosecution Agreement - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
SIFMA’s Compliance and Legal Society Annual Seminar, Prepared Remarks of U.S. Attorney Preet Bharara - White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014
Live Seminar  Live Seminar White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , New York, NY
White Collar Crime 2013: Prosecutors and Regulators Speak , Tuesday, October 01, 2013 , New York, NY
Internal Investigations 2014 , Tuesday, June 24, 2014 , New York, NY
Live Webcast  Live Webcast White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , Cincinnati, OH
White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , Cleveland, OH
White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , Pittsburgh, PA
White Collar Crime 2014: Prosecutors and Regulators Speak , Tuesday, September 23, 2014 , Philadelphia, PA
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