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November 16, 2021

7 Due Diligence Issues to Avoid False Claims Act Lawsuits

Nelson Mullins partners Jennifer Malinovsky and Ed White join Alice Harris, an attorney with Nexsen Pruet, to go over the key compliance areas to look for in due diligence. 

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Sam Rosenthal

Sam Rosenthal

Partner

101 Constitution Avenue, NW
Suite 900
Washington, D.C., 20001
280 Park Avenue
15th Floor West
New York, NY 10017
sam.rosenthal@nelsonmullins.com
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Samuel has represented individuals and entities involved in a range of white collar criminal matters, regulatory issues, and federal civil and administrative proceedings. These matters have focused on cross-border issues, including those arising, for example, under the Foreign Corrupt Practices Act and OFAC sanctions and relating to complex financial transactions. He also represents clients in diverse...

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Samuel has represented individuals and entities involved in a range of white collar criminal matters, regulatory issues, and federal civil and administrative proceedings. These matters have focused on cross-border issues, including those arising, for example, under the Foreign Corrupt Practices Act and OFAC sanctions and relating to complex financial transactions. He also represents clients in diverse industries concerning antitrust matters, including both civil and criminal proceedings.

In addition to representing various private individuals and entities, Samuel has represented governmental entities, including the Government National Mortgage Association (GNMA), as well as the U.S. Senate while serving as an associate independent counsel. He is a former chief of the Department of Justice Appellate Section of the Criminal Division. 

Samuel has lectured extensively on subjects relating to both criminal and civil proceedings. He has also authored two treatises published by BNA-Bloomberg. One treatise deals with director and officer liability in financial institutions. The second treatise deals with cybersecurity liability and covers a host of important topics surrounding both cybersecurity and privacy issues.

Sam Rosenthal

industries concerning antitrust matters, including both civil and criminal proceedings.

In addition to representing various private individuals and entities, Samuel has represented governmental entities, including the Government National Mortgage Association (GNMA), as well as the U.S. Senate while serving as an associate independent counsel. He is a former chief of the Department of Justice Appellate Section of the Criminal Division. 

Samuel has lectured extensively on subjects relating to both criminal and civil proceedings. He has also authored two treatises published by BNA-Bloomberg. One treatise deals with director and officer liability in financial institutions. The second treatise deals with cybersecurity liability and covers a host of important topics surrounding both cybersecurity and privacy issues.

Samuel has represented individuals and entities involved in a range of white collar criminal matters, regulatory issues, and federal civil and administrative proceedings. These matters have focused on cross-border issues, including those arising, for example, under the Foreign Corrupt Practices Act and OFAC sanctions and relating to complex financial transactions. He also represents clients in diverse... industries concerning antitrust matters, including both civil and criminal proceedings.

In addition to representing various private individuals and entities, Samuel has represented governmental entities, including the Government National Mortgage Association (GNMA), as well as the U.S. Senate while serving as an associate independent counsel. He is a former chief of the Department of Justice Appellate Section of the Criminal Division. 

Samuel has lectured extensively on subjects relating to both criminal and civil proceedings. He has also authored two treatises published by BNA-Bloomberg. One treatise deals with director and officer liability in financial institutions. The second treatise deals with cybersecurity liability and covers a host of important topics surrounding both cybersecurity and privacy issues.

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Previous Professional Experience

  • Partner, Chair of Government Investigations and White Collar, Washington office of global law firm (2008–2017)
  • Partner, Washington office of large law firm (1988–2008)
  • Chief, Appellate Section, Criminal Division, U.S. Department of Justice (1984–1988)
  • Assistant U.S. Attorney, District of New Jersey (1980–1984)

Experience

  • Represented a company in connection with DOJ investigation into FCPA matters in Eastern Europe
  • Represented a former official in connection with a corruption prosecution in the Eastern District of New York
  • Represented a company in the Southern District of New York in connection with parallel grand jury and SEC investigation into possible securities violations arising from revenue projections
  • Represented the officer of foreign company in connection with parallel civil and criminal FCPA investigations by the SEC and US Attorney for the Eastern District of New York 
  • Represented a foreign entity in SEC investigation into possible broker-dealer issues and violations of US securities laws
  • Represented a company in the Middle East in connection with possible violations of the Foreign Corrupt Practices Act
  • Represented a former BSA officer in connection with possible enforcement action by the OCC
  • Represented the board of directors in connection with alleged securities violations arising from merger and acquisition
  • Represented a hedge fund in connection with parallel SEC and grand jury investigations in the Southern District of New York into possible insider trading
  • Represented a member of the board of directors of an entity acquiring a publicly traded company in connection with an SEC investigation in the Southern District of New York into possible insider trading
  • Defended bank board members in connection with claims of breach of fiduciary duty arising from merger transaction
  • Represented a Bank of New York officer and her husband in the Russian money laundering case that was described by the government as the largest money laundering case in history; negotiated a resolution in which both clients obtained probation
  • Represented former CEO and CFO of one of the largest mortgage companies in the country in a suit claiming breach of fiduciary duty, conflicts of interest, and violations of clients’ duty of loyalty as a director of the Board
  • OIG and grand jury investigation (D.C.). Defended official in an investigation into structuring and approval of a highly complex bond refinancing used to raise hundreds of millions of dollars for financing infrastructure improvements
  • Obtained ruling from the 10th Circuit that DOJ and SEC had violated the terms of a protective order entered in a massive SEC investigation, thereby ending civil and criminal investigations of client
  • Obtained a decision from the Seventh Circuit, reversing and remanding US$17 million restitution award; on remand obtained a ruling of no restitution

Education

  • Cornell Law School, JD (1976)
  • Cornell University, BS (1973)

Admissions

  • District of Columbia
  • New Jersey
  • New York
  • U.S. District Court for the District of Maryland
  • U.S. District Court for the District of New Jersey
  • U.S. District Court for the Eastern District of New York
  • U.S. District Court for the Southern District of New York
  • Supreme Court of the United States

Practice Areas

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

  • District of Columbia Bar Association
  • New York Bar Association
  • New Jersey Bar Association
  • National Association of Criminal Defense Attorneys
  • American Bar Association
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