Lynn A. Neils PARTNER EDUCATION AND HONORS

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1 Lynn A. Neils practice focuses on representing companies and individuals on matters related to white collar criminal defense, internal investigations, regulatory enforcement, corporate compliance and complex commercial litigation. Drawing on her extensive prosecutorial, corporate and private practice experience that spans more than twentyfive years, she has counseled clients in large-scale federal criminal investigations, as well as advised clients on the Foreign Corrupt Practices Act (FCPA) and other regulatory matters involving the SEC and federal, state and foreign regulators. Ms. Neils has significant trial experience in both the federal and state courts. PARTNER 30 Rockefeller Plaza New York New York United States of America fax EDUCATION AND HONORS J.D., Georgetown University Law Center, 1989 American Criminal Law Review B.A., Tulane University, 1986 Dean's List Phi Beta Kappa summa cum laude Recognized by Chambers USA, for White Collar Crime and Government Investigations, Recognized by Best Lawyers (Woodward White, Inc.) for Criminal Defense: White Collar, 2016 Listed in The International Who's Who of Ms. Neils is highly regarded by clients for her ability to "look at the full picture to get an understanding of what is going on" and her "impressive level of depth (Chambers USA, Litigation: White-Collar Crime & Government Investigations, 2015). Ms. Neils served as an Assistant United States Attorney in both the Southern District of New York (SDNY) and the District of New Jersey. During her more than 11 years as an Assistant United States Attorney, Ms. Neils worked on a wide variety of complex white collar cases, including securities fraud, accounting fraud, bank fraud, Bank Secrecy Act, tax fraud, wire fraud, money laundering, health care fraud, art fraud, insurance fraud, FCPA, U.S. sanctions and obstruction of justice matters. In 2004, she was promoted to Chief of the Major Crimes Unit in the SDNY where she supervised approximately 20 senior Assistant United States Attorneys in handling the investigation and prosecution of a wide variety of complex, and often multinational, white collar cases. In that role, she coordinated with multiple prosecutorial and regulatory offices, including many outside the United States, including the U.K. Serious Fraud Office and the Financial Services Agency. She also acted as a liaison with the banking regulators in New York, including the Federal Reserve Bank, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency. For several years, Ms. Neils also served as Senior Counsel at Johnson & BAKER BOTTS 1

2 Investigations Lawyers & Forensic Experts (Law Business Research Ltd.), 2014 Recommended in The Legal 500 U.S. for international trade, 2013 COURT ADMISSIONS & AFFILIATIONS New York State Bar United States Court of Appeals for the Second Circuit United States District Courts for the Southern and Eastern Districts of New York National Association of Criminal Defense Lawyers Federal Bar Council American Bar Association, White Collar Crime Committee of the Business Law Section, Member; Securities Fraud Subcommittee, Co-Chief Lecturer, Rutgers Business School on Criminal Law and the FCPA ( ) Association of the Bar of the City of New York; Committee on the Judiciary, Member ( ) Johnson and was responsible for handling a large caseload of criminal and civil matters; conducting internal investigations; advising on compliance and regulatory matters, including those related to the FCPA; and conducting training of employees on regulatory and legal matters, including those related to the FCPA and other anti-corruption laws and regulations. EXPERIENCE Currently representing a former high-level executive in connection with the Department of Justice s investigation of one of the U.S. Rating Agencies for alleged FIRREA violations. Represented a former high-level executive in London of a U.S. Rating Agency in connection with a criminal fraud investigation by the U.S. Attorney s Office for the Eastern District of New York. Engaged by the President of a subsidiary of a large Government Contractor to represent him in connection with a False Claims Act investigation by the U.S. Attorney s Office for the Southern District of New York. Engaged by two former bankers at a large Financial Institution in connection with the CFTC s investigation into the alleged manipulation of the ISDAFIX rate. Engaged to represent the Director of Product Investigations of General Motors in connection with the criminal investigation by the U.S. Attorney s Office for the Southern District of New York related to GM s recall of vehicles for defective ignition switches. Engaged by a Fortune 100 Life Sciences company to represent it in connection with an anti-kickback and off-label promotion investigation by the Department of Justice and the U.S. Attorney s Office for the District of Tennessee. Engaged by a Fortune 100 Life Sciences company to coordinate the investigation of suspected FCPA violations in India, Ukraine, China and Brazil, and to advise the company s Internal Audit Department on BAKER BOTTS 2

3 conducting FCPA audits to ensure compliance. Engaged by a former analyst for a Hedge Fund in connection with an SEC investigation into alleged market manipulation and insider trading. Engaged by a large public Financial Services company to conduct an internal investigation into alleged accounting irregularities. Represented several executives in the investigations by the U.S. Department of Justice related to alleged violations of U.S. Sanctions against Iran and other federal statutes by ING, HSBC and Standard Chartered Bank. Represented a large Electronics company in an internal investigation into allegations it assisted a public company in falsely inflating its sales numbers. Engaged by a large Oil and Gas company to conduct FCPA due diligence in connection with a proposed acquisition. Represented a Director of a Broker/Dealer under investigation by the U.S. Attorney s Office for the Southern District of New York and the Securities Exchange Commission for securities fraud. Represented the Chief Compliance Officer of a Broker/Dealer in an SEC Enforcement action involving allegations of churning in customer accounts. Represented the former Chief Financial Officer of AIG in connection with the fraud investigation by the Department of Justice in the wake of the 2008 Financial Crisis related to AIG s handling of its portfolio of Credit Default Swaps. PUBLICATIONS, SPEECHES, AND PRESENTATIONS FCPA Pilot Program, Litigation Update, April 2016 White-Collar Defense and Collateral Effects, February 2016 The Reality of a Complex Multi-Jurisdictional Investigation: How To BAKER BOTTS 3

4 Manage and Resolve the Top Three Issues in a Multi-Jurisdictional Investigations, ACI Houston FCPA Boot Camp, January 2016 Maintaining Privilege in International Investigations, October th FCPA & Anti-Corruption for the Life Sciences Industry, May 2013 International Investigations: An Overview of Best Practices and Recent Developments in Conducting an Effective Internal Investigation, April 2013 Recent Trends in FCPA Litigation, February 2013 The Foreign Corrupt Practices Act and International Anti-Corruption Developments, January 2013 'Dirty Money' Anti-Corruption and Money Laundering, October 2012 Preventing Third Party Misconduct: Auditing and Monitoring Strategies Based on Type of Risk and Third Party, November 2011 Managing and Responding to an FCPA Crisis: What to Do in the First 2 Weeks, November 2010 UK Bribery Act: How Will It impact Your Business in China?, October 2010 UK Bribery Act, 2010: Lawyers in Commerce and Industry Group, October 2010 International Corruption: General Aspects and Global Legal Framework, September 2010 Insider Trading, 5th Annual Investment Management Regulatory University, May 2010 Parallel International Proceedings: FSA Investigations and Enforcement 2009, December 2009 The Foreign Corrupt Practices Act Demystified: Compliance Fundamentals and Best Practices, March 2009 FCPA/Anti-Corruption and Corporate Compliance 2009, January 2009 BAKER BOTTS 4

5 Internal Investigations 2008: Legal, Ethical & Strategic Issues, June 2008 Internal Investigations: Corporate Misconduct, the Investigation, and Information Management Tips, Corporate Counsel College, April 2008 Conducting Internal Investigations after Enron & KPMG: The Role of the Attorney, April 2008 BAKER BOTTS 5