Joshua Klein

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Joshua Klein

Partner

Joshua Klein, a co-founder of the firm, represents individuals and entities in civil and criminal government enforcement proceedings, internal investigations, complex commercial litigation, and at trial. He also advises on compliance and governance matters.

During his career, Mr. Klein has tried numerous federal criminal felony cases before a jury, always achieving a successful outcome. Most recently, in 2017, Mr. Klein successfully defended a Wall Street trader in a seven-week federal criminal securities fraud trial, obtaining acquittals on eight of nine charged counts and a mistrial on the remaining count.

Prior to co-founding the firm, Mr. Klein served for a combined thirteen years as an Assistant United States Attorney in the Office of the United States Attorney for the Southern District of New York and as counsel with the Enforcement Division of the Securities and Exchange Commission. As a member of the SDNY Securities and Commodities Fraud Task Force for more than six years he led the government’s high-profile Galleon investigation which resulted in the convictions of dozens of individuals in one of the largest insider trading cases in history.

Mr. Klein's clients include corporate Boards, corporate officers and directors, senior executives of financial institutions and multi-national corporations, principals of privately held firms, hedge funds, compliance officers, traders, accountants, attorneys, and several banks and broker-dealers. Former colleagues and adversaries have described Mr. Klein in Bloomberg, as “very strategic” and as “a very formidable strong-willed advocate.” Mr. Klein has been profiled in various news publications including The New York Times and The Wall Street Journal, in the television series American Greed, and in two books narrating the government’s investigations of Galleon and SAC Capital. Mr. Klein is also recognized as an expert in cross-border white-collar investigations by Who’s Who Legal: Business Crime Defence.

Mr. Klein has extensive trial experience, particularly in the securities fraud area. During his time as a prosecutor he was trial counsel in the successful prosecutions of Alberto Vilar and Gary Tanaka (former managers of the $8 billion Amerindo Investment Advisors fund) on charges of investment advisor fraud; Hafiz Naseem (a former investment banker) in relation to a multi-million dollar insider trading scheme; Morris Weissman (the former CEO and Chairman of the Board of American Banknote Corporation) for financial statement and accounting fraud; Frank Skelly and Craig Gross (former principals of Walsh Manning, Inc.) in connection with a $100 million market manipulation scheme; former brokers of Investors Associates, Inc. for their roles in a stock fraud scheme; and George Balis, the CEO of Millenium Direct, Inc. and a former attorney, for orchestrating a kickback scheme. In addition, Mr. Klein conducted other trials and hearings in federal district court and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit.

Mr. Klein also has deep experience representing traders, bankers, hedge funds, and corporate officers and directors in complex business disputes. For several years Mr. Klein represented a former Lehman Brothers CFO in connection with numerous multi-district litigation matters, all of which were resolved successfully. Currently, Mr. Klein represents a former CEO and Chairman of the Board of a publicly traded company in class action litigation and related federal and state civil litigation matters.

Mr. Klein's recent matters include representation of:

  • A bond trader in a seven-week criminal trial resulting in acquittals on eight of nine charged counts and a mistrial on the remaining count;
  • Various individuals in DOJ, UK Financial Conduct Authority and UK Serious Fraud Office probes involving FOREX, LIBOR, EURIBOR, and precious metals trading;
  • Several bank employees in connection with a DOJ money laundering investigation;
  • A former senior General Motors executive in the DOJ investigation of faulty ignition switches;
  • An individual in the government’s Och-Ziff FCPA investigation;
  • An individual in the DOJ FIFA matter;
  • A former public company CEO in class action litigation;
  • Several senior financial executives in connection with investigations related to mortgage-backed securities;
  • Several portfolio managers in connection with civil and criminal insider trading investigations.

Click Here To View Significant Matters Mr. Klein Handled As A Federal Prosecutor

Mr. Klein served, for several years, as a member of the Criminal Justice Act Panel for the Southern District of New York, representing indigent defendants in a broad array of federal criminal proceedings. Mr. Klein has been a speaker on securities law, corporate governance and criminal law matters at programs sponsored by, among others, the U.S. Department of Justice's National Advocacy Center, the Directors’ Roundtable, Columbia Business School, and as a featured faculty member on Lawline. Mr. Klein is a member of the Federal Bar Council, the American Bar Association, and the New York Council of Defense Lawyers.

A graduate of Harvard Law School (1993, cum laude) and the University of Michigan, Ann Arbor (1990, High Distinction, Phi Beta Kappa), Mr. Klein is admitted to practice before the U.S. Court of Appeals for the Second Circuit and the U.S. District Courts for the Southern and Eastern Districts of New York, and the Eastern District of Michigan.

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