Mauro M. Wolfe practices in the area of litigation, with a focus on domestic and international white-collar criminal defense; FINRA and SEC securities enforcement, including Foreign Corrupt Practices Act investigations; complex civil and administrative litigation; internal corporate investigations; and data security and privacy matters. Mr. Wolfe has represented U.S. and foreign corporations, corporate executives, government officials and others in a broad range of white-collar criminal cases involving securities, bank and procurement fraud, public corruption, OFAC and export violations, tax and bribery. Mr. Wolfe is AV® Preeminent™ Peer Review Rated by Martindale-Hubbell in the areas of Criminal Law, White Collar Crime and Litigation. Mr. Wolfe is listed in the 2013 and 2012 editions of New York Super Lawyers - Metro in the area of Criminal Defense: White Collar. He is an Officer for the International Bar Association Criminal Committee and was a past National Subcommittee Co-chair on White Collar & Corporate Investigations for the American Bar Association Securities Litigation Committee.
In June 2009, Mr. Wolfe was elected to the highly selective and prestigious New York Council of Defense Lawyers, an organization comprising the most well-regarded white collar practitioners in New York.
Mr. Wolfe has been involved in several high profile matters over his career. He has been sourced, quoted, and pictured in various news media including The New York Times, The National Law Journal, Bloomberg, Associated Press, Barron's, Philadelphia Daily News, The Star-Ledger, The New York Post, The San Francisco Chronicle, The Wall Street Journal Blog, CNET News.com, and many others.
Capitalizing on personal relationships in the technology, finance and business communities worldwide, Mr. Wolfe also provides strategic advice to late-stage startups and middle market companies looking to grow exponentially. Mr. Wolfe helps his clients by providing advice and strategically selecting the right advisors (from the Silicon Valley to New York) and accessing the right capital markets options to develop companies into $100 million plus companies. Working as a trusted, strategic advisor and "business" partner, Mr. Wolfe helps companies reach the next level.
In 2013, Indiana University of Pennsylvania honored Mr. Wolfe as an inductee of its Eberly College of Business and Information Technology Hall of Distinction.
A former senior enforcement attorney at the U.S. Securities and Exchange Commission (SEC) and a former federal prosecutor, Mr. Wolfe has extensive experience working with various U.S. and international law-enforcement agencies and securities regulators, including the Federal Bureau of Investigation; Internal Revenue Service; U.S. Postal Inspection Service; U.S. Department of Homeland Security; U.S. Department of Defense—Criminal Investigation Task Force; U.S. Secret Service; the SEC; the New York Stock Exchange; the Manhattan District Attorney's Office; the Financial Industry Regulatory Authority; the Pennsylvania, New Jersey and New York state securities regulators; the Swiss Central Authorities; New Scotland Yard; and the British Columbia Securities Commission.
Mr. Wolfe served as the Assistant U.S. Attorney in the Securities and Healthcare Fraud Unit in Newark, N.J. Prior to that, he was the Special Assistant U.S. Attorney for the District of New Jersey, where he worked in the Criminal Division, Major Frauds Unit. Earlier in his career, Mr. Wolfe served as a senior attorney in the Enforcement Division of the SEC's Philadelphia District Office and as an assistant district attorney for the Philadelphia District Attorney's Office, Narcotics Division.
Mr. Wolfe is a 1996 graduate of Temple University Beasley School of Law and a graduate of Indiana University of Pennsylvania.
- Successfully defended trader in U.S. and Foreign joint LIBOR investigation resulting in no action.
- Successfully defended former employee of major consulting firm from SEC insider trading investigation resulting in no action.
- Defending publicly traded fashion/apparel company in connection to FINRA insider trading inquiry.
- Defending First Degree Murder indictment against wrongfully accused client in Middlesex County, New Jersey.
- Defended a senior finance employee of publicly traded company who is a target of a SEC insider trading investigation resulting in no action taken by the New York Regional Office of the SEC.
- Defending client physician subject to an ongoing multiple state medical board inquiries and ongoing criminal investigation.
- Defending client physician witness in ongoing DOJ criminal investigation.
- Defending international medical device company in connection to an off-label marketing investigation by a DOJ Health Care Fraud unit.
- Defending Philadelphia-based Broker Dealer from FINRA examination and following on the record interviews.
- Represented Bernard L. Madoff and Ruth Madoff in various federal actions for securities fraud, investment adviser fraud, money laundering and related charges.
- Represented employee of major corporation under investigation for wrongdoing resulting in no employment termination or law enforcement charges.
- Represented group of employees of healthcare provider subject to an investigation by a DOJ Health Care Fraud unit.
- Represented company, board member, and officer of Philadelphia-based technology company from SEC investigation resulting in no action.
- Represented Korean company subject to SEC fraud investigation resulting in a written declination letter exonerating the client.
- Represented major global infrastructure developer from FINRA insider trading inquiry resulting in no action.
- Represented a money-remitting business and its officer in a state investigation into allegations of fraud, resulting in no charges being filed against the clients.
- Represented clients who were subject to criminal and civil forfeiture matters in France, the Cayman Islands and the United Kingdom.
- Represented a counterterrorism intelligence company and individuals in an investigation into allegations of computer hacking and material support to terrorists, resulting in no charges being filed.
- Represented a Maryland government official before a grand jury investigation that resulted in no charges being filed.
- Represented a company in the student loan industry in connection with a criminal investigation by the U.S. Attorney's Offices for the District of New Jersey and the District of Columbia, and by the U.S. Department of Education, resulting in the government closing the investigation less than four months after executing a search warrant and not filing charges.
- Represented a registered representative of a major financial services company in connection with an insider-trading investigation by the U.S. Attorney's Office for the Southern District of New York and the Securities and Exchange Commission.
- Defended a British co-principal of a Boston hedge fund in connection with an investigation and litigation brought by the Boston office of the Securities and Exchange Commission and the Massachusetts Division of Securities.
- Defended a former officer of Hollinger International, Inc. in a civil action brought by Hollinger concerning allegations of breach of fiduciary duty and diversion of corporate assets.
- Defended a manufacturing company and its officers in connection with an informal Securities and Exchange Commission inquiry related to millions of dollars raised in private-placement offerings.
- Representing global company related to FCPA and Bribery Act 2010 matters worldwide.
- Conducted global FCPA risk assessment for leading software technology client with significant operations in Asia.
- Provided FCPA advice and counsel regarding potential M&A activity involving a chemical company.
- Representing a client in Asia related to civil and criminal FCPA matters.
- Conducted Foreign Corrupt Practices Act due diligence risk assessment in mergers and acquisitions transaction involving 20 countries in Africa and Latin America.
- Advising European Union-based company on Foreign Corrupt Practices due diligence in connection with a merger and acquisition transaction involving nine countries in Latin America.
- Advising global U.S.-based mergers and acquisitions company on Foreign Corrupt Practices Act issues that have arisen post-closing.
- Advised a U.S. company with regard to negotiating the potential Foreign Corrupt Practice Act risks connected with the sale of its Asian subsidiary to another U.S.-based company.
- Represented a U.S. project-development company in a Foreign Corrupt Practices Act compliance review conducted in connection with a $2.5 billion transaction in Latin America.
- Represented a U.S. medical device manufacturer in a Foreign Corrupt Practices Act compliance review conducted in connection with an exclusive sales agreement in Venezuela.
- Represented a U.S. real estate developer involved in a real estate transaction with an African country, resulting in the sale of a New York City building being in compliance with the Foreign Corrupt Practices Act.
- Advised a U.S. company regarding negotiating the potential Foreign Corrupt Practice Act risks connected with the potential sale of its Asian subsidiary to another U.S.-based company.
- Counseled and advised a major financial institution in connection with the company's computer incident-response plans.
- Counseled and advised one of the world's largest multinational software developers on security issues and conducted an internal investigation.
- Created a portable device incident-response plan for a global company with 160 individual business units in 38 countries. For the same company, created architecture for a global plan to organize an information security management system.
- Conducted on behalf of one of the world's leading software and technology services companies an international forensic investigation to determine whether the loss of laptop computers and other personal digital assistant devices had resulted in violations of the data-privacy laws of the United Kingdom, Spain, France and Switzerland, among other countries.
- Counseled and defended a New York art dealer in connection with an investigation by U.S. Immigration and Customs Enforcement, Federal Bureau of Investigation, INTERPOL, and the U.S. Attorney's Office for the Southern District of New York involving fine artwork alleged stolen from Latin America.
- Counseled and defended Isle of Man and Italian art dealers in connection with the seizure by the U.S. Attorney's Office for the Southern District and U.S. Immigration and Customs Enforcement of art suspected to be illegally imported Italian antiquities.
- Counseled and defended British art investors in connection with the seizure by U.S. and foreign authorities of multimillion-dollar artwork.
- Negotiated on behalf of an Italian art dealer the favorable resolution of a sales dispute with Sotheby's regarding a piece of art valued at $5.8 million.
- Defended a New York art dealer involved in civil litigation related to the provenance and title to artwork.
Foreign Corrupt Practices Act
Areas of Practice
- Securities Enforcement
- Complex Civil and Administrative Litigation
- Internal Corporate Investigations
- Data Security and Privacy
- White-Collar Criminal Law
- Foreign Corrupt Practices Act compliance, due diligence, investigations, and defense
- New York
- New Jersey
- Temple University Beasley School of Law, J.D., 1996
- Indiana University of Pennsylvania, B.S., 1990
- Duane Morris LLP
- Partner, 2011-present
- U.S. Attorney's Office District of New Jersey
- Assistant U.S. Attorney, Securities and Health Care Fraud Unit, 2003-2006
- Special Assistant U.S. Attorney for the District of New Jersey, 2001-2003
- U.S. Securities and Exchange Commission
- Senior Attorney, Enforcement Division, 1999-2003
- Philadelphia District Attorney's Office
- Assistant District Attorney, Narcotics, 1997-1999
- Website Officer, International Bar Association Criminal Law Committee
- American Bar Association Securities Litigation Committee
- National Co-chair, Subcommittee on White Collar & Corporate Investigations, 2013-2014
- New York Council of Defense Lawyers
- Co-founder, Hispanic Lawyers Society of New York (2007)
- Member of Steering Committee for the U.S. Attorney's Office District of New Jersey Alumni Association
- Association of Securities and Exchange Commission Alumni
Honors and Awards
- Named to Council of Urban Professionals' CUP Catalysts: Change Agents 2013 | Law, 2013
- Inducted into Indiana University of Pennsylvania's Eberly College of Business and Information Technology Hall of Distinction, 2013
- Listed in New York Super Lawyers, 2012-2013
- AV® Preeminent™ Peer Review Rated by Martindale-Hubbell
- LatinoJustice PRLDEF, Chairman, Nominations Committee
- Co-author, "SEC Targets Investment Adviser Community," Duane Morris Alert, November 12, 2013; Republished by Journal of Investment Compliance, Vol. 15, No. 1, 2014
- Co-author, "HFT Spoof That Wasn't Funny," Compliance Monitor, September 2013
- Co-author, "Serious Fraud Office Issues Draft Code of Practice on Deferred Prosecution Agreements," Duane Morris Alert, July 3, 2013
- Co-author, "Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S. Financial Markets?" Duane Morris Alert, May 14, 2013
- Co-author, "Use It or Lose It: U.S. Supreme Court Holds the SEC Must Bring Civil Enforcement Actions Within Five Years of Wrongful Conduct," Duane Morris Alert, February 28, 2013
- Co-author, "Tougher Revised UK Bribery Act Policies," The Corporate Counselor, December 2012
- Co-author, "Serious Fraud Office Issues Tougher Revised UK Bribery Act Policies," Duane Morris Alert, October 9, 2012
- Co-author, "Non-Compliance with U.S. Anticorruption Law: Are You Losing Millions in Company Value?" Asian-Mena Counsel, May 2012
- Quoted in "SEC Defense Lawyers Well-Advised to Consider Criminal Exposure Early On" by Phyllis Diamond, BNA's Securities Regulation and Law Report, March 7, 2011
- Author, "Does the U.S. Have Limitless Jurisdiction Enforcing the FCPA?" IBA Criminal Law Section News, May 2010
- Co-author, "Lost Laptop: Eight Steps to Avoid a Disaster," Bloomberg Law Reports: Risk & Compliance, December 2008
Selected Speaking Engagements
- Speaker, "Death at the Hands of the State" and "The Unusual Suspects: The In-House Counsel, Compliance Officer and External Counsel as Criminal Accused," International Bar Association's Annual Conference, Tokyo, October 19-24, 2014
- Speaker, "Assembling the Pieces: Assessing Roles and Responsibilities in Producing Effective and Responsive Internal Investigations Team," New York Law Journal Webinar, November 18, 2013
- Speaker, "The Use of Private Investigators, Experts and Forensic Accountants," International Bar Association (IBA) Transnational Crime Conference, Miami, May 17, 2013
- Moderator, "Foreign Corrupt Practices Act: What You Need to Know About SEC and DOJ Enforcement," 2013 Hispanic National Bar Association (HNBA) Midyear Corporate Counsel Conference, Atlanta, March 15, 2013
- Speaker, "Ethics and Anti-Corruption Enforcement," Practising Law Institute's Seminar on Doing Deals in and with Emerging Markets: BRIC and Beyond 2012, New York City, July 12, 2012
- Panelist, "White Collar Crimes: Recent Cases / Internal Investigations," 2012 Hispanic National Bar Association 3rd Annual Midyear Corporate Counsel Conference, Jersey City, New Jersey, March 30, 2012
- Speaker, "Building Winning White-Collar Cases," University of Maryland, Robert H. Smith School of Business, Forensic Accounting course, Annapolis, Maryland, June 18, 2011
- Speaker, "Real-life Impact of United States v. Booker on Sentencing and Plea Negotiations," U.S. Attorney's Office (USAO) – District of New Jersey and New Jersey USAO Alumni Association CLE, Newark, New Jersey, May 15, 2011
- Speaker, "Updates in Foreign Corrupt Practices Act," ABA's Sections of Litigation and Criminal Justice Joint Annual Conference, Miami, April 15, 2011
- Guest Speaker, "Understanding the FCPA from the EU Perspective," audience of EU partners for major accounting firm, November 2, 2009
- Guest Speaker, "Understanding Corporate Internal Investigation Challenges," University of Pennsylvania Law School, Philadelphia, Pennsylvania, October 19, 2009
- Panelist, "International Crisis Management and Internal Investigations," International Corporate Practice Ethical and Legal Considerations, Penn Club, New York City, January 31, 2008
- Speaker, "Government Investigations That Focus on In-House Attorneys: When in Doubt, Blame the Lawyers," Minority Corporate Counsel Association 2008 Seventh Annual CLE Expo, March 26-28, 2008