Guy Petrillo

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Guy Petrillo

Partner

Mr. Petrillo represents clients in civil and criminal litigation and investigations, regulatory enforcement matters, antitrust proceedings and independent investigations. He also serves as counsel in special proceedings including arbitration, bankruptcy court matters, including trustee investigations, mediations, and select pre-complaint negotiations.

Background

Co-Founder, Petrillo Klein & Boxer LLP, 2010-present.

  Chambers USA White Collar Individuals, Band One.

Chief, Criminal Division, U.S. Attorney’s Office for the Southern District of New York, January 2008 to October 2009.

Partner, Litigation, Dechert LLP and predecessor firms, 1997 – 2007.

Assistant U.S. Attorney, Criminal Division, U.S. Attorney’s Office for the Southern District of New York, 1990 – 1997. Chief Appellate Attorney, 1996 – 1997. Chief, Narcotics Unit, 1995 – 1996.

Davis Polk & Wardwell LLP, Litigation Associate, 1986 – 1990.

Recent Trials

  • 2017: Represented lead defendant in U.S. v. Shapiro et al., 3:15 cr. 00155-RNC, in six-week federal court jury trial on an indictment charging conspiracy, securities fraud and wire fraud in connection with certain non-agency RMBS trading in the secondary market. Client acquitted on eight counts of securities and wire fraud, with no verdict returned on conspiracy count.
  • 2016/2017: Represented respondent in SEC v. Barbara Duka, SEC 3-16349, in multi-week trial before SEC ALJ on a complaint charging securities fraud, negligence and SEC credit ratings-related rules violations in connection with certain 2011 CMBS ratings agency publications. Post-trial opinion dismissed all fraud charges and imposed no bar on continued industry service.
  • 2016/2017: Arbitration tribunal panelist, contractual dispute between non-US international pharmaceutical companies. Final award, August 2017. Private arbitration under the rules of the Swiss Chamber Arbitration Institution.

Practice

Department of Justice. Mr. Petrillo is regularly engaged by clients in criminal and civil matters prosecuted by the Department Justice, including its U.S. Attorney’s Offices, the Fraud Section, the Money Laundering and Asset Recovery Section, the Civil Division and the Antitrust Division. His experience includes hundreds of client representations covering the broad spectrum of criminal prosecutions, from alleged financial industry and other fraud, to, among others, alleged money laundering, alleged violations of banking, FCPA and U.S. embargo and sanctions laws, as well as matters involving alleged breaches of public integrity, alleged violations of pharmaceutical marketing enactments, and alleged transgressions of government program and financial industry laws and regulations. He has also represented clients in the negotiation of non-prosecution agreements and in asset forfeiture matters. In the arena of civil enforcement, Mr. Petrillo represents clients in matters pursued by the DOJ Civil Division under the False Claims Act, the Financial Institutions Reform, Recovery and Enforcement Act, and other statutes.

  • Cross border matters: Mr. Petrillo’s engagements have regularly involved cross border investigations by DOJ and criminal and regulatory authorities outside the United States, requiring close cooperation with overseas counsel and study of local regimes. Such client matters recently have included representations of individuals in the cross border investigations of certain auto manufacturers’ emissions engineering and regulatory reporting practices; the Libor matters; and certain bank currency clearing transactions in the context of U.S. and other national embargo and sanctions regimes.

Antitrust. Mr. Petrillo frequently represents clients in matters pursued by the DOJ Antitrust Division. Such engagements recently have included investigations of collusion and fraud in the markets for foreign exchange and certain other financial instruments, as well as investigations focused on the auto-parts, ocean transport, water treatment chemicals, and other market sectors.

U.S. Securities and Exchange Commission and U.S. Commodity Futures Exchange Commission. As a regular part of his practice, Mr. Petrillo represents clients in SEC and CFTC investigations, at times in parallel with related investigations by criminal authorities. His engagements in SEC matters have encompassed, among others, public company and financial statement disclosure, public securities issuance, including in the municipal finance area, and investigations of trading venues, alleged securities fraud and insider trading, ratings agency practices and investment advisor disclosure and duties. He has also represented clients in CFTC investigations of oil market futures trading, trading in certain options swaps, and futures markets and trading in the precious metals markets.

Self-regulatory organizations. Mr. Petrillo represents clients before the Federal Reserve Enforcement Division, the Financial Industry Regulatory Authority and the Public Company Accounting Oversight Board.

State and local enforcement. Mr. Petrillo is often engaged in criminal and civil matters handled by the Office of the New York State Attorney General and District Attorney’s Office of New York including recently in cases concerning the banking, foreign exchange, securities, investment advisor and construction industries.

Representation of law firms and lawyers. Mr. Petrillo has represented a major law firm in civil litigation and arbitration, a second law firm’s partners as witnesses in a criminal proceeding, and a third firm’s partners in an investigation by the New York State Attorney General. He has also represented more than a dozen lawyers in federal and state criminal and regulatory enforcement matters and represents a nonprofit legal organization in federal and state investigations.

Private civil litigation. Mr. Petrillo represents clients in federal and state court in civil litigations and in arbitration. Clients include officers of public companies in securities fraud litigation, partners in business-related disputes, a law firm in a malpractice action in state court, a money manager accused of fraud, an investment bank in a contract dispute, and investment funds and a leading broker in bankruptcy court litigation. He has also negotiated pre-complaint settlements in sensitive executive employment disputes, and is experienced in the mediation process, both as a choice of the parties and as court ordered.

Independent investigations. Mr. Petrillo represents entity clients in the conduct of internal investigations, including, when apt, interactions with enforcement authorities and the negotiation of agreements to resolve government inquiries. He is also frequently engaged by clients whose employers are engaged in a board- or company-directed investigations.

Appeals. Mr. Petrillo has been counsel in more than 100 appeals in subject areas including, among others, criminal law and procedure, constitutional law, antitrust law, asset forfeiture, the law of director duties and court imposed sanctions awarding fees.

Professional

Recognized as leading practitioner in Chambers USA; Super Lawyers; Who’s Who Legal: Business Crime Defence; and Expert Guides, White Collar Crime. Recipient, Martindale-Hubble’s AV® Preeminent Rating.

Adjunct Lecturer, Criminal Law, Columbia Law School.

Served on committees of the Association of the Bar of the City of New York, including the Professional Responsibility Committee and White Collar Crime Committee.

Panelist in CLE courses sponsored by the Association of Corporate Counsel, Practising Law Institute, American Bankruptcy Institute, and the Association of the Bar of the City of New York.

Admissions/Education

Mr. Petrillo is admitted to practice before the U.S. Supreme Court, U.S. Court of Appeals for the Second Circuit, U.S. Court of Appeals for the Fourth Circuit, U.S. Court of Appeals for the Seventh Circuit, U.S. District Court for the Southern District of New York and U.S. District Court for the Eastern District of New York.

Mr. Petrillo is a graduate of New York University School of Law and Massachusetts Institute of Technology, where he received an undergraduate degree in Chemistry and a graduate degree in Political Science.

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