FacultyFaculty/Author Profile
Patrick J. Smith

Patrick J. Smith

DLA Piper LLP (US)

New York, NY, USA


Patrick Smith represents companies and individuals in investigations conducted by the US Department of Justice, the Securities and Exchange Commission, the New York Attorney General's Office and FINRA, as well as other federal and state agencies, and conducts internal investigations into allegations of misconduct by corporate officers and employees.

Among his clients are leading investment banks and financial services firms, accounting firms and pharmaceutical companies. In addition, Patrick has defended numerous individual bankers, traders, lawyers and corporate officers in grand jury and regulatory investigations. He has tried to verdict more than 20 cases and has substantial experience in the federal courts of appeal.

EXPERIENCE

Patrick's recent representations include:
  • A hedge fund manager in insider trading cases brought by the US Attorney for the Southern District of New York and the SEC
  • An accounting firm in a Madoff-related securities fraud investigation
  • Several former Lehman Brothers managing directors in government investigations
  • A pharmaceutical company in an internal investigation of allegedly unlawful marketing practices
  • A hedge fund in a Manhattan District Attorney criminal investigation of valuation practices
  • An investment bank in an internal review of risk management and credit underwriting practices in connection with certain derivative products
  • An investment banker in a parallel DOJ/SEC investigation of alleged FCPA violations in China
  • An investment bank in a FINRA fixed-income trading investigation
  • A pharmaceutical company in an internal investigation of potential FCPA violations in Thailand
  • An international freight forwarder in a DOJ investigation of alleged export control violations
  • A tax attorney at an investment bank in a federal grand jury investigation of allegedly fraudulent tax shelters
  • An appraisal management firm in a New York Attorney General action alleging the fraudulent inflation of residential appraisals and related regulatory investigations
PUBLICATIONS

United States v. Vilar
: new limits on extraterritorial securities enforcement, Securities Litigation Alert (US), White Collar Update, 9 Sep 2013
  • Will proposed SEC whistleblower rules prevent the undermining of corporate compliance programs?, White Collar Update, 9 Nov 2010
PRESENTATIONS AND SEMINARS
  • Speaker, "Recent Developments in Insider Trading Enforcement," JP Morgan Chase, New York (April 5, 2012)
PROFESSIONAL EXPERIENCE

In 1994, Patrick served as associate independent counsel in the Whitewater Investigation under Independent Counsel Robert B. Fiske, Jr. From 1995 to 2002, Patrick was an Assistant United States Attorney in the Southern District of New York. As a member of the Southern District's Securities and Commodities Fraud Task Force, he investigated and prosecuted complex securities fraud schemes involving financial statement fraud, insider trading and market manipulation. From 2002 to 2005, he was an Assistant United States Attorney in the Districts of Guam and the Northern Mariana Islands.

COURTS AND FORUMS

  • United States Court of Appeals for the Second Circuit
  • United States Court of Appeals for the Ninth Circuit
  • United States District Court for the Southern District of New York
  • United States District Court for the Eastern District of New York
RECOGNITIONS

Patrick has been named a New York Super Lawyer and is recognized in Best Lawyers in America. He received the Department of Justice's Attorney General's Award for Distinguished Service and is a two-time recipient of the Director's Award for Superior Performance as an Assistant United States Attorney.

EDUCATION

Columbia University School of Law (1989) J.D. Editor, Columbia Law Review

University of Pennsylvania (1983) B.A., History

ADMISSIONS

New York

LANGUAGES

German


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