FacultyFaculty/Author Profile

Joshua Klein

Petrillo Klein & Boxer LLP

New York, NY, USA


Joshua Klein is a co-founder of the law firm Petrillo Klein & Boxer LLP. He represents individuals and entities in complex commercial litigation, criminal matters, government enforcement proceedings and internal investigations, and also advises on compliance matters. Mr. Klein's clients have included senior executives of several financial institutions and multi-national corporations, principals of privately held firms, hedge funds, traders, accountants, attorneys, and several banks and broker-dealers. He regularly appears in court and handles matters involving the United States Securities and Exchange Commission, FINRA, the Department of Justice's Antitrust Division, the United States Attorney's Offices for the Southern and Eastern Districts of New York, the New York Attorney General's Office, the Manhattan District Attorney's Office, and several other government agencies.

Mr. Klein's recent matters include: Representing a former Lehman Brothers CFO in federal court multi-district litigation; Representing a former attorney and Chairman of the Board of a public corporation in litigation with the SEC; Representing individuals in multiple criminal and regulatory insider trading investigations; Representing financial executives in various RMBS and CDO related investigations and litigation. Mr. Klein also serves on the Criminal Justice Act Panel for the Southern District of New York.

Prior to co-founding the firm, Mr. Klein served for a combined thirteen years as an Assistant United States Attorney in the Office of the United States Attorney for the Southern District of New York and as counsel with the Enforcement Division of the Securities and Exchange Commission. As a member of the SDNY Securities and Commodities Fraud Task Force for more than six years, he was trial counsel in the successful prosecution of several securities fraud cases, including, Alberto Vilar and Gary Tanaka (former managers of the $8 billion Amerindo Investment Advisors fund) on charges of investment advisor fraud; Hafiz Naseem (a former investment banker) in relation to a multi-million dollar insider trading scheme; Morris Weissman (the former CEO and Chairman of the Board of American Banknote Corporation) for financial statement and accounting fraud; Frank Skelly and Craig Gross (former principals of Walsh Manning, Inc.) in connection with a $100 million market manipulation scheme; former brokers of Investors Associates, Inc. for their roles in a stock fraud scheme; and George Balis, the CEO of Millenium Direct, Inc. and a former attorney, for orchestrating a kickback scheme.

Mr. Klein also helped lead the insider trading investigation of Raj Rajaratnam and Galleon, which led to the convictions of dozens of individuals. Mr. Klein conducted a number of other trials and hearings in federal district court and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit. Mr. Klein was also a member of the Office's Complex Frauds Unit, where he prosecuted cases involving investment fraud, bank fraud, theft of trade secrets and intellectual property offenses.

Prior to joining the U.S. Attorney's Office, Mr. Klein served as Senior Counsel in the Division of Enforcement of the SEC in Washington, D.C., conducting investigations and litigation concerning violations of the federal securities laws. Mr. Klein also previously worked as an associate for a prominent international law firm following graduation from law school.

Mr. Klein has been a speaker on securities law, corporate governance and criminal law matters at programs sponsored by, among others, the U.S. Department of Justice, the American Bar Association, the Directors' Roundtable, Lawline, and Columbia Business School.

A graduate of Harvard Law School (1993, cum laude) and the University of Michigan, Ann Arbor (1990, High Distinction, Phi Beta Kappa), Mr. Klein is admitted to practice before the U.S. Court of Appeals for the Second Circuit and the U.S. District Courts for the Southern and Eastern Districts of New York.
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