Mauro M. Wolfe

Partner

  • Mauro M. Wolfe
  • Phone: +1 212 692 1017

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  • Duane Morris LLP
    1540 Broadway
    New York, NY 10036-4086
    USA

Mauro M. Wolfe practices in the area of litigation, with a focus on domestic and international white-collar matters before the U.S. DOJ, U.S. SEC, U.S. Treasury (OFAC), N.Y. DFS, FINRA, and various federal agencies and regulators, state Attorneys General and local prosecutors, with an emphasis on public companies; FCPA and OFAC compliance and investigations; internal corporate investigations, and complex litigation. Mr. Wolfe has defended numerous Nasdaq and NYSE delisting appeals. He has international expertise in the defense of blockchain and crypto enforcement matters. Mr. Wolfe has represented U.S. and foreign corporations, corporate executives, government officials, and others in a broad range of white-collar matters. Additionally, Mr. Wolfe has substantial expertise in global asset recovery work for domestic and international victims of fraud.

Mr. Wolfe has been a member of the highly selective and prestigious New York Council of Defense Lawyers, an organization comprising the most well-regarded white collar practitioners in New York since 2009.

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 has extensive experience working with various U.S. and international law-enforcement agencies and securities regulators. Most recently, Mr. Wolfe has handled bet-the-company matters involving LatAm, Eastern Europe, Africa, EU, Middle East, India, Singapore, Hong Kong and China before US law enforcement authorities.

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.

Mr. Wolfe is widely recognized as a trusted advisor and acts as counsel to companies and leaders who seek exceptional strategic advice related to their most important objectives and goals around the world. He is particularly focused on technology, and cannabis companies. Leveraging a highly cultivated global network, he consistently provides great value to clients and their business interests through providing global innovative legal solutions, or connecting clients to capital, expertise, or deal opportunities worldwide.

In 2013, Indiana University of Pennsylvania honored Mr. Wolfe as an inductee of its Eberly College of Business and Information Technology Hall of Distinction.

Mr. Wolfe is a 1996 graduate of Temple University Beasley School of Law and a graduate of Indiana University of Pennsylvania.

Representative Matters

  • Represented renowned mooncake manufacturer Mei-Xin (Hong Kong) Limited, a subsidiary of Maxim’s Caterers Limited, in obtaining an appellate victory from the Third Circuit, reversing the grant of preliminary injunction against Maxim’s and Mei-Xin after Mei-Xin sought to terminate its distribution agreement with Golden Fortune Import & Export Corporation.

  • Successfully represented a Fintech company subject to an SEC investigation, resulting in a resolution involving only a books and records violation, with no charges of scienter-based fraud or negligence, and a modest fine.

  • Successfully represented defendant in a three co-defendant insider trading case. Facing 37 to 46 months in prison after pleading guilty in the SDNY, the client received a sentence of probation of 4 years, 4 months home confinement, and no penalty.

  • Representing U.S. company for OFAC matters connected to Zimbabwe.

  • Representing EU company related to OFAC matters involving South Sudan.

  • Representing an Eastern European executive subject to foreign extradition proceedings in connection to a U.S. DOJ indictment for alleged trafficking of controlled substances.

  • Representing a New Jersey Healthcare provider subject to an audit by the State of New Jersey, Office of the State Comptroller, Medicaid Fraud Division.

  • Representing a subject of the Panama Papers investigation commenced by the U.S. Attorney’s Office for the Southern District of New York.

  • Defended an Investment Manager, based in Puerto Rico and New York City, and Private Equity Fund subject to an investigation by the SEC based in Denver.

  • Successfully defended publicly traded company subject to FINRA insider trading inquiry.

  • Successfully defended US publicly traded LatAm company subject to US criminal investigation for immigration fraud resulting in a written declination from federal prosecutors and saving the client tens of millions in investigation fees.

  • Defending major accounting firm before the New York Department of Financial Services.

  • Defending trader in Asia before the Chicago Mercantile Exchange and the New York Mercantile Exchange.

  • Representing 3 major New York institutions involved in matters before the New York Department of Financial Services.

  • Successfully prosecuted civilly title 28 Section 1782 US Discovery in Aid of Foreign Proceeding for clients in Cayman Islands resulting, after depositions and production of documents, a favor settlement.

  • 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.

  • Successfully defended publicly traded fashion/apparel company in connection to FINRA insider trading inquiry.

  • Successfully 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.

  • Successfully defended client physician subject to an ongoing multiple state medical board inquiries and ongoing criminal investigation with no action against him.

  • Defended client physician witness in ongoing DOJ criminal investigation.

  • Successfully defended international medical device company in connection to an off-label marketing investigation by a DOJ Health Care Fraud unit with no action against the company.

  • Defended Philadelphia-based Broker Dealer from FINRA examination and following on the record interviews.

    • Foreign Corrupt Practices Act

  • Conducted investigation in Greece related to potential violations.

  • Conducting risk assessment and creation of comprehensive global anti-corruption compliance program for US software developer.

  • Completed risk assessment and creation of comprehensive global anti-corruption compliance program for $3 billion foreign company with operations in over 60 countries.

  • Defending three clients in a high risk continent with regards to allegations of potential violations of the FCPA.

  • Successfully defended global UK company related to FCPA and Bribery Act 2010 matters worldwide resulting in no charges.

  • Conducted global FCPA risk assessment for leading software technology client with significant operations in Asia.

Areas of Practice

  • Securities Enforcement
  • Complex Civil and Administrative Litigation
  • Internal Corporate Investigations

  • Office of Foreign Asset Control

  • White-Collar Criminal Law
  • Foreign Corrupt Practices Act compliance, due diligence, investigations, and defense

Admissions

  • New York
  • New Jersey
  • Pennsylvania

Education

  • Temple University Beasley School of Law, J.D., 1996
  • Indiana University of Pennsylvania, B.S., 1990

Experience

  • 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

Professional Activities

  • Criminal Law Committee of the International Bar Association
    - Co-Chair

  • Criminal Law Committee of the International Bar Association - Advisory Board
    - Member

  • American Bar Association Securities Litigation Committee
    - National Co-chair, Subcommittee on White Collar & Corporate Investigations, 2013-2014

  • New York Council of Defense Lawyers (2009)

  • Co-founder, Hispanic Lawyers Society of New York (2007)

Honors and Awards

  • Listed in New York Super Lawyers, 2012-2020

  • Named to Corporate America's Legal Elite 2015 - Best for International White-Collar Criminal Defense - New York
  • 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
  • AV® Preeminent™ Peer Review Rated by Martindale-Hubbell

Selected Publications

Selected Speaking Engagements

  • Speaker, "Corporate & Regulatory Compliance Boot Camp: Foreign Corrupt Practices Act Compliance," West Legal Education Center, Webinar, March 28, 2024
  • Speaker, "U.S. Law Enforcement Targets Growing Global Crypto Markets: The Jaguar in the Jungle - What Every Brazilian Crypto Actor Must Know Now," Duane Morris Webinar, March 18, 2024
  • Speaker, "Internal Investigations 101," Financial Pose Corporate and Regulatory Compliance Boot Camp, May 24, 2023
  • Speaker, "Regulatory/Sanctions and Cryptocurrency Litigation," Duane Morris Fintech General Counsel Roundtable, Webinar, December 2, 2022
  • Panelist, "Foreign Corrupt Practices Act Compliance," Financial Poise and West Legal Corporate & Regulatory Compliance Boot Camp, Webinar, March 30, 2022
  • Panelist, "Diversity, Equity, and Inclusion in a Professional Workplace," Indiana University of Pennsylvania Webinar, March 17, 2021

  • Moderator for panel, "Cross-border Enforcement of Trade Sanctions," IBA Annual Conference Rome, Roma Convention Center La Nuvola, Rome, Italy, October 10, 2018

  • Panelist, "Broken Windows and New Frontiers: The Increasingly Long Arm of Anti-Corruption Law," 21st Annual IBA Transnational Crime Conference, Sheraton Grand Krakow, Krakow, Poland, May 17, 2018

  • Speaker, "African Fellowship Program 2015: Liberia," Widener University Delaware Law School, August 25-27, 2015
  • Speaker, "Regulatory Risks for Private Equity Funds When Expanding Abroad," Dealmaker Series, BDO, August 6, 2015
  • Panelist, "Whistleblowing: The Process, Benefits and Pitfalls," MetroLALSA 5th Annual Pa'lante Conference, New York City, New York, April 18, 2015
  • Speaker, "What's Your Plan? Responding to Government Investigations," Driven Speaker Series, New York, November 17, 2014
  • 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