Griffith L. Green
GRIFFITH GREEN is a partner in Sidley’s Washington, D.C., office and a member of Sidley’s Securities & Derivatives Enforcement and Regulatory practice, which received the 2016 Chambers USA Award for “Financial Services and Securities Regulation.”
His practice is focused on the defense of public and private investigations, litigation of enforcement proceedings and internal investigations. He regularly represents public companies, broker dealers, financial services firms, hedge funds, accounting firms and individuals in investigations by the SEC, FINRA, DOJ and state regulators of alleged accounting fraud, disclosure irregularities, broker-dealer misconduct, SEC rule violations, insider trading, and FCPA and OFAC violations. He has also conducted internal investigations in a wide range of matters involving allegations of criminal, civil and ethical misconduct. Griff has extensive experience with electronic discovery and is a member of the firm’s Electronic Discovery Task Force.
Griff regularly advises U.S. and non-U.S. clients on the development, enhancement, and implementation of corporate ethics and compliance programs. He also provides training for Boards of Directors, compliance and legal departments, and company personnel on FCPA and regulatory compliance.
Griff’s recent matters include:
- Defending public companies in the technology, energy, defense, construction, healthcare and agriculture sectors in SEC accounting and disclosure investigations.
- Representing broker-dealers in SEC and FINRA investigations of a broad range of alleged regulatory violations.
- Representing a major investment bank and employees of a large commercial bank in investigations by DOJ and state Attorneys General of residential mortgage backed securities (RMBS).
- Defending a large U.S. manufacturer in a joint SEC, DOJ, OFAC and BIS investigation of export controls and FCPA issues involving three sanctioned countries. This matter was closed without any penalties imposed.
- Conducting, on behalf of FINRA’s Special Review Committee, an in-depth review of FINRA’s regulatory examinations of the brokerage firms of Bernard Madoff and Allen Stanford.
- Representing U.S. and non-U.S. companies in the manufacturing, pharmaceutical, medical device, service and oil industries in internal and government investigations involving allegations of international bribery and violations of the FCPA in over 35 countries.
A sampling of Griff’s representative clients and matters includes:
- Represented a major broker-dealer in one of the largest SEC actions ever brought involving a Wall Street firm.
- Represented Wall Street firms in SEC and FINRA investigations of SEC rule violations and industry sweeps.
- Defended a major investment bank, together with its current and former employees, in RMBS-related investigations by the DOJ and state Attorneys General.
- KPMG Huazhen — Member of trial team representing a Chinese accounting firm in SEC administrative enforcement proceedings relating to the production of audit work papers from China.
- United States v. Smith & Nephew, Inc. — Defended a medical device manufacturer in an FCPA investigation by the SEC and DOJ.
- China Green Agriculture — Represented a Chinese reverse-merger company in an SEC accounting fraud investigation. Matter closed without action by the SEC.
- Financial Industry Regulatory Authority (FINRA) Special Review Committee — Conducted a review of FINRA’s regulatory examinations of the brokerage firms of Bernard Madoff and Allen Stanford. Public report issued.
- Represented a major international oil company in internal and government investigations involving allegations of international bribery and violations of the FCPA in 30+ countries. Matter closed without action by the SEC or DOJ.
- Represented hedge fund and private equity clients in SEC insider trading investigations.
- Defended a large U.S. manufacturer in joint SEC, DOJ, OFAC and BIS investigation of export controls and FCPA issues. Matter closed without penalties being imposed.
- Advised clients in the manufacturing, automotive, electronics, food processing, financial services, pharmaceutical, medical device and oil industries on the design and implementation of corporate compliance programs.
- SEC v. Morgan Stanley & Co. Incorporated — Represented broker-dealer in SEC investigation of e-mail retention and production issues.
- SEC v. Raytheon Company — Represented defense contractor in SEC investigation of accounting and disclosure issues.
- United States v. Tyson Foods, Inc. — Member of trial team that represented company in jury trial on 36-count indictment charging conspiracy to violate federal immigration laws and seeking criminal forfeiture of over $100 million. Jury acquittal on all counts.
- World Bank — Represented the International Bank for Reconstruction and Development (the “World Bank”) in internal investigations relating to fraud and embezzlement claims and other litigation matters.
Griff serves as outside general counsel to two non-profit organizations: The International Association of Bomb Technicians and Investigators, a professional association dedicated to countering the criminal use of explosives, and Shelter House, Inc., the largest shelter for homeless families in Fairfax County.