2016 Forensics

25 Pages·2016·3.64 MB·English

Title:
2016 Forensics: How Technology Impacts

Internal Investigations
Date: March 18, 2016
Time: 3:45 PM to 5:00 PM
Moderator

Adria Perez
Partner
Kilpatrick Townsend & Stockton LLP
Atlanta, GA

Panelists

Karen Schuler
Managing Director
BDO Consulting
Washington, D.C.

Jaqueline Arango
Partner
Chair, White Collar Crime & Government Investigations Practice
Akerman
Miami, Florida
Tab 1 – Biographies or CVs
Adria L. Perez
Partner
Atlanta | 404 745 2573
[email protected]
Services
White Collar Crime & Internal Investigations, Health Care Litigation, Subprime &
Credit Markets Litigation, Big Data, Privacy & Cybersecurity, Government &
Regulatory

Adria Perez focuses her practice on representing both corporations and individuals in white collar criminal
defense matters, government enforcement issues, as well as internal, criminal and SEC investigations. Her
experience includes handling issues relating to the Foreign Corrupt Practices Act, False Claims Act (including
government contracting, healthcare and tax matters), Civil Investigative Demands and export enforcement.
Ms. Perez assists clients in responding to inquiries from and government investigations conducted by the
DOJ, SEC, OCC and Office of Inspector General from a variety of federal agencies. She also counsels clients
on developing and strengthening compliance programs and policies.
Ms. Perez is a member of the firm’s Pro Bono Committee. She was recognized as a 2011 “40 Under 40”
Rising Leader by the Atlanta Business Chronicle. In 2015 and the three years immediately preceding, Super
Lawyers magazine recognized Ms. Perez as a Georgia “Rising Star” in the area of White Collar Criminal
Defense. In 2013 and 2014, she was listed as a Georgia Trend “Legal Elite” in the area of Criminal Law.
Ms. Perez is fluent in Spanish. Para ver esta biografía en español, presione aquí.
Experience Highlights
FCPA declination by DOJ and SEC
Obtained a complete declination by Department of Justice and SEC of an FCPA matter for a public company
client. Conducted a multi-national FCPA investigation and provided a voluntary disclosure to DOJ and SEC
on behalf of an Audit Committee. Also assisted with training and instituting compliance improvements.
FCPA internal investigation concerning alleged conduct in the Caribbean
Conducted an internal investigation into FCPA issues in the Caribbean for a public company, and later,
provided extensive training to executive officers, the legal department as well as employees.
Conducted FCPA internal investigation in South America
Conducted an internal FCPA investigation for a public company relating to conduct in Argentina. The
investigation included reviewing materials in Spanish and conducting interviews of Argentine and Chilean
employees in both Spanish and English. The investigation’s findings were favorable to the client.
FCPA advice for consumer goods manufacturer
Advised an international consumer goods manufacturer on FCPA issues as well as assisted in drafting its
FCPA policy, guidelines and contract language.
Conducted FCPA internal investigation for international public company
Performed an internal investigation for an international public company into FCPA issues in Brazil, Portugal
and Africa.
1
Conducted an international anti-corruption internal investigation for a Fortune 100 company
Conducted an internal investigation in the United States, Saudi Arabia, Jordan, Turkey and Dubai into
anticorruption issues for a Fortune 100 company in response to a government inquiry. Assisted company with
government disclosures to DOJ.
Internal investigation regarding bid-rigging and bribery
Conducted an internal investigation for a public company concerning potential bid-rigging and bribery.
Represented medical practice in False Claims Act litigation
Reached a favorable settlement with a relator, the federal government and State of Georgia for a medical
practice in a Federal False Claims Act litigation brought by a former employee.
Successfully responded to a civil investigative demand and persuaded the DOJ not to take any action
against client
Conducted an internal investigation and represented a healthcare company in responding to a civil
investigative demand and investigation into whether the company violated the False Claims Act. After over
two years of investigating, the DOJ decided to close the matter without taking any action against the
company.
Successfully represented government contractor in False Claims Act investigation
Persuaded U.S. Attorney’s Office not to indict a government contractor after a two year False Claims Act
investigation.
Investigation by DOJ of whistleblower claims
In less than four months, convinced the Civil Division of the Department of Justice that a whistleblower’s
claims against a company did not merit the Government’s intervention into a sealed qui tam litigation. Soon
after, the whistleblower voluntarily dismissed her litigation.
Convinced DOJ not to take action in a theft of trade secret investigation
In less than three months, we convinced the Department of Justice not to take any action against a client
employee for allegedly stealing trade secrets from a competitor. During the investigation, our client continued
to be a witness and did not have any criminal exposure.
Represented a construction company executive during parallel investigations by the SEC & DOJ
Represented an executive at a public construction company during parallel investigations by the SEC & DOJ
and convinced the DOJ to use the executive as a cooperating witness during a criminal trial.
Represented client in the DOJ’s largest antitrust investigation
Represented a former broker during the DOJ’s largest antitrust investigation and convinced the DOJ to use
the client as a cooperating witnesses as well as successfully obtained a lenient sentence for the client.
Represented employees in an export investigation
Represented a group of employees in an investigation by a U.S. Attorney’s Office, the Nuclear Regulatory
Commission and Immigration & Customs Enforcement relating to the export of medical devices to sanctioned
countries.
Publications, Articles & Speeches
The Foreign Corrupt Practices Act and International Anti-Corruption Efforts, September 2015
Doing Business in Brazil: Exploring Cross-Border Legal Issues, June 2015
Uncle Sam Wants You! How to Handle Government Raids, Investigations, and Government Contract Crises,
January 2015
Mind the Gap – A Discussion on the Confidence Gap Between Men and Women, November 2014
2
DuPont Minority Corporate Counsel Conference, June 2014
Unexpected Government Attention, May 2014
Avoid Club Fed: White Collar Crime and Corporate Investigations, September 2013
Money Laundering – International Transactional Considerations, April 2013
Corporate Executives in the Crosshairs: White Collar Crimes and Parallel Prosecutions, March 2013
Circuit Training: 10 Legal Issues Every Lawyer Should Understand, February 2013
Scary Stuff: Potential Civil & Criminal Liability Related to Federal Dollars, September 2011
“Parallel Lives: How Brazil and the United States Consider Leniency Agreements and Compliance Programs,”
Inside Newsletter, November 2015
“Not Business As Usual: Avoiding Criminal Penalties When Interacting with Public Officials,” Bloomberg Law
Reports, October 2011
“Metadata: What You Don’t Know Can Hurt You,” Fulton County Daily Report, March 2008
Professional & Community Activities
Atlanta Volunteer Lawyers Foundation, Board of Directors, Member
Georgia Latino Law Foundation, Board of Directors, Member
LEAD Atlanta Class of 2012, Member
American Bar Association, Member
Georgia Hispanic Bar Association, Member
Hispanic National Bar Association, Member
Hispanic National Bar Association, Latina Commission, Member (2015-2016)
Education
Columbia University, J.D. (2004)
Florida State University, B.A., International Affairs and Spanish, summa cum laude (2001)
Parker School of International Law, Certificate in Comparative and International Law
Bar Admissions
Georgia (2004)
Admissions
U.S. District Court for the Northern District of Georgia
U.S. Court of Appeals for the Eleventh Circuit
U.S. District Court for the Middle District of Georgia
3
Biography
Karen Schuler, CFE, IGP, IGP
BDO Consulting Managing Director
Information Governance Practice Leader

EXPERIENCE SUMMARY
Karen Schuler has more than 20 years of experience in multidisciplinary
investigations, technology and disputes including matters involving
intellectual property, trade secrets, contracts, corruption, and products
liabilities, across multiple industries. She is a nationally known speaker
and author on advanced topics in e-discovery, digital forensics,
[email protected] investigations, and technology implementation and systems integration.
Office: 703-336-1533
Mobile: [phone] Advising clients on all aspects of the investigative spectrum, Ms. Schuler
8405 Greensboro Drive helps organizations evaluate risk and compliance requirements, respond to
Suite 800 matters in an efficient and cost-effective manner, and respond to internal
McLean, Virginia 22102 and external risks. She is skilled in managing large multidisciplinary
matters where her clients are faced with complex issues during internal
investigations, cyber investigations, or litigation. Ms. Schuler has
799 9th Street, NW
participated in Rule 26(f) meet-and-confer conferences, and has provided
Suite 710
Washington, DC 20001 30(b)6 testimony, fact, and opinion testimony regarding technology,
software functionality, preservation, electronic discovery and digital
www.bdoconsulting.com forensics.
Author of “eDiscovery: Creating and Managing an Enterprise-wide Program
| A Technical Guide to Digital,” a comprehensive book on information
governance and e-discovery, she frequently publishes and presents at
conferences and has been quoted in the media. Prior to BDO, she was
founder of one of the first digital forensics consulting firms in the 1990’s,
lead Kroll’s Global Information Security and Cyber Investigations business,
and was a Senior Forensics Examiner for the U.S. Securities and Exchange
Commission. She is a board member of an information management and
governance company, current member of the Association of Certified
Fraud Examiner’s Advisory Council, and served previously on the board of
the MidAtlantic Chapter of HTCIA.

PROFESSIONAL AFFILIATIONS AND COMMITTEE ACTIVITIES
Association of Certified Fraud Examiners (ACFE)
American Health Information Management Association (AHIMA)
Association of Records Managers and Administrators (ARMA)
International Association of Privacy Professionals (IAPP)
American Institute of CPA’s, Associate Member (AICPA)
Sherpa Software Board of Directors
Association for Information and Image Management (AIIM)

BDO Consulting is a division of BDO USA, LLP, a Delaware limited liability partnership and the U.S. member of BDO International Limited. BDO International Limited
is a UK company limited by guarantee, and forms part of the international BDO network of independent member firms. BDO is the brand name for the BDO network
and for each of the BDO Member Firms.
REPRESENTATIVE TESTIMONY
• Declaration, L.V. Hall v. Toyo Tire & Rubber, Co., June 2013
• Declaration, Elliott Company v. Tetlow et al (4:13-cv-01566), March
2013
• Affidavit and Deposition, Kenneth Goldsborough and Mary
Goldsborough vs. Bucyrus International, Inc., Bucyrus America, Inc.,
Bucyrus Mining Equipment, Inc., Wolf Run Mining Company, Hunter
Ridge Coal Company, ICG, Inc. and ICG, LLC, 2013
• Testimony, L.V. Hall v. Toyo Tire & Rubber Co., January 2013
• Affidavit and Deposition, John B. Mazur, Plaintiff, v. TRG Holdings
LLC, et al., Defendants, Superior Court of the District of Columbia
Civil Division, Civil Action No. 08 CA 000809, Deposition and
Declaration, 2009 - 2010
• Affidavit and Testimony, Heritage Manor v Masanoff et. al., US Circuit
Court, 15th Judicial Court, May 2008
• Affidavit, SonoMedica, Inc. v. Mohler et al, Eastern District of Virginia
(Alexandria), 1:08-cv-00230-GBL-TRJ, 2008
• Affidavit, Mary Ann Bain Gouge, vs. Carolyn M. Clawson, Guilford,
North Carolina Superior Court Division, July 2008
• 30(b)6 expert for Warnaco, Doyle & Boissiere Fund I, LLC v. Warnaco,
Inc., 2006 - 2008
• 30(b)6 expert for Williams Companies, 2007 - 2008
• 30(b)6 expert for New Jersey Department of Environmental Protection,
et al. v. Atlantic Richfield Co., et al., 08 Civ. 00312. Master File No.
1:00-1898, MDL No. 1358 (SAS), No. M21-88. United States District
Court, S.D. New York, 2007 - 2008
• Declaration, U.S. SEC Securities and Exchange Commission v. One or
More Unknown Purchasers of Call Options for the Common Stock of
InVision Technologies, Inc., 04 Civ. 02037 (WHP) (S.D.N.Y.), 2004
• Declaration, U.S. SEC, Securities and Exchange Commission v. Gary V.
Morris, Civil Action No. H-04-3096, U.S.D.C./Southern District of Texas
(Houston Division), 2004
• Declaration, U.S. SEC, Securities and Exchange Commission v.
Hollinger International, Inc., U.S. District Court for the Northern
District of Illinois, Case No. 04C0336 (N.D. Ill. 2004); Declaration, U.S.
SEC, U.S. Securities and Exchange Commission v. Conrad M. Black, et
al., U.S. District Court for the Northern District of Illinois, Case No.
04C03761 (N.D. Ill. 2004), 2004
• Declaration, Globespan, Inc. v. John O’Neill, No. CV 01-04350 LGB
(CTx), US District Court, C.D. California, 2001

REPRESENTATIVE EXPERT CONSULTING AND INDUSTRY EXPERIENCE
Manufacturing and Construction
• Consulting expert, Gentex Corporation v. Brad Sutter, Patrick Walko,
BAE Systems Aerospace & Defense Group, Inc., BAE Systems AH Inc.,
and BAE Systems Specialty Defense Systems of Pennsylvania, Inc., Civil
Action No. 3:07-cv-1269; Investigated allegations of the theft of
intellectual property as a result of 16 employees departing and joining
a global competitor.
• Internal investigation and e-discovery, U.S. Securities & Exchange
Commission Inquiry and In Re: The Mills Corporation Securities
Litigation.
• Determine whether client violated the anti-bribery, books and records
and internal controls provisions of the FCPA. Investigated whether the
company violated federal statutes around the sales of explosive
detection machines to airports in China, Thailand, and The Philippines.
• Litigation support efforts to determine whether multiple targets of the
investigation improperly disclosed their accounting practices.
Allegations included cost overruns with estimated recoveries on claims
the company had not yet resolved with its customers and whether
changes met GAAP standards.

Energy and Oil & Gas Industry

• Managed a global consulting team that evaluated physical and IT
security requirements for a Fortunate 100 oil and gas company in the
process of building a pipeline in the Middle East.
• Provided forensics and e-discovery response solutions for an U.S.
energy company responding to U.S. Nuclear Regulatory Commission
(NRC) construction and operating license application (COLA.)
• Developed an enterprise-wide records management, litigation hold and
e-discovery response system for a major U.S. energy company.
• Investigated allegations of FCPA violations related to the Nigerian oil &
gas bribery matters.

Retail & Entertainment

• Managed a team of cyber investigators, forensic examiners and
security analysts that investigated external data leakage concerns
within a major retail operation, resulting in the identification of
hundreds of host vulnerabilities.
• Evaluated previous legal hold, preservation and data collections
performed by the client and provided expert consulting services during
26(f) meetings.
• Investigated allegations of newspaper circulation inflation and
payments diversion, which resulted in criminal charges and the
incarceration of two executives.
• Investigated whistleblower allegations of accounting misstatements
within a national retail construction and management company, which
resulted in restatements.

Technology & Telecommunications

• Investigated and reported to the Federal Reserve System and Treasury
as to whether the company shared sensitive U.S. information with non-
U.S subsidiaries; identified locations of information and remediated
improper dissemination of information.
• Managed the software code and software code block analysis between
versions of sensitive U.S. government information to map out
remediation requirements.
• Investigated allegations into the theft of intellectual property
regarding information dissemination to competitors and non-company
parties; compared software code versions between parties to assist
with preparation for damages calculations and potential infringements
implications for my client.
• Managed the investigation into a dispute between global computer
manufacturers where spoliation of evidence was in question.
• Investigated potential theft of intellectual property where the
origination of software application source code and customer lists
were under investigation between two microchip manufacturers.

Healthcare & Pharmaceutical

• Led investigations and managed teams that responded to advanced
persistent threats (APT) which resulted in the implementation of
persistent monitoring and response programs to address severe and
moderate threats throughout the enterprise.
• Led a team of cyber investigators that responded to SQL injection
attacks and identified breached records by thoroughly investigating
internal and external root causes.
• Determine whether there was sufficient evidence for the United States
Court for the District of Columbia to file charges against company with
violating FCPA; additionally, investigated allegations of whether the
Commission had sufficient evidence to file suit against Monsanto for
violation of anti-bribery, books-and-records, and internal controls
provisions of the FCPA. Results of the investigation resulted in a
reduction of fines and compliance requirements.

Government Contractors

• Investigated and managed a global cyber-investigation into 16,000
systems to identify compromised systems and uncover the root cause
and to resolve immediate security threats and compromises.
• Managed the data breach response and resolution team into the
largest data breach in the U.S. in 2011, which resulted in notification
and resolution services for approximately 4.9 million insured
individuals.

Financial Services Industry

• Conducted the internal investigation and response to U.S. Department
of Justice, Second Request, In the Matter of Fidelity National
Financial, Inc.
• Developed threat matrix models to uncover IT security risks and known
vulnerabilities.
• In NASD and FDIC inquiries, managed teams of consultants that
evaluated productions in previous matters to identify potential gaps in
productions to the government.
• Investigated multiple allegations of insider trading and securities
violations within a retirement planning company to identify key
witnesses and other perpetrators.
REPRESENTATIVE SPEAKING ENGAGEMENTS

• BDO Year-End Event, Navigating Big Data, Cybersecurity and Data
Governance Challenges, December 2015
• Association of Corporate Counsel, BDO Presents: How Corporate
Counsel Can Mitigate Cybersecurity Risks, Panelist, September 2015
• 27th Annual General Counsel Conference, Applying Analytics to Your
Organization’s GRC Strategy, Round Table, June 2015
• 26th Annual General Counsel Conference, Managing Unstructured Data
Across the Enterprise to Enhance Compliance, Security, Litigation
Readiness, and Big Data Analytics, Round Table, June 2014
• National Association of Federal Equity Receivers, Electronically Stored
Information: Making and Breaking the Federal Equity Receivership,
Washington DC, October 2014
• Women in Influence Power In Law, Critical E-Discovery Areas You Must
Understand, Washington, DC, September 2014
BDO Knowledge Webinar – Data Breach Essentials, Webinar, June 2014
• Association of Certified E-Discovery Specialists, Webinar Co-Presented
with Partner from Arent Fox, Creating a Defensible E-Discovery Search
Strategy that Doesn’t Break the Bank, June 2014
• Pennsylvania Bar Institute Speaker, How Technology Can Get You in
Trouble, Topics covered Information Security, Forensics, Data
Destruction, Social Media and Business Continuity, Pittsburgh, PA, June
11, 2013
• Pennsylvania Bar Institute, e-Discovery Symposium Panelist, Discovery
and Use of Social Media at Trial, Pittsburgh, PA, April 26, 2013
• Carnegie Mellon University, Institute for Information Networking (INI),
Guest Lecturer, Investigations to Litigation, Pittsburgh, PA, March 7,
2013
• The Cyril H. Wecht Institute of Forensic Science & Law, Forensic
Fridays Seminar Series, Digital Detectives: A Computer Forensics
Update, Topic: Digital Forensics in the Private Sector, Pittsburgh, PA,
January 18, 2013
• Georgetown University Advanced E-Discovery Institute, Using and
Challenging Digital Forensic Evidence, Tysons Corner, VA, December 6,
2012
• IAAR 3rd Annual Conference, Osama bin Laden's Data Haul – The Asset
Tracing Lessons It Teaches Through 'Analog' and Digital Investigations,
• Las Vegas, NV, November 2011
• IAAR 3rd Annual Conference, E-Mail, Caches, Cookies and Hidden Files
That Help You Make Asset Tracing and Recovery Cases, Las Vegas, NV,
November 2011
• Women in E-Discovery, New York Chapter, Uncovering Digital Artifacts,
New York, NY, October 2011
• OPEN MINDS Technology & Informatics Institute, New Models For
Health Information Exchange Capabilities, Baltimore, MD, October
2011
• Keynote Speaker, FCW Executive Briefing on Digital Forensics, 1105
Events, Putting the Forensic and E-Discovery Puzzles Together:
Effective Fraud Investigation Techniques, Tips and Pitfalls,
Washington, DC, November 2010
• The Masters Conference, Cabinet Member and Moderator, Achieving