left-caret
Professionnels
Image: John P Nowak

John P Nowak

Partner, Litigation Department
New York
200 Park Avenue
New York, NY
10166
United States

Fax: 1(212) 230-7853

Overview

John Nowak is a partner in the Investigations and White Collar Defense practice at Paul Hastings and is based in the firm's New York office. Mr. Nowak represents corporate entities and their executives and boards in internal investigations and government inquiries involving allegations of fraud, accounting disclosures, sales practice abuse, securities violations, conflicts of interest, related party transactions and violations of the Foreign Corrupt Practices Act and False Claims Act. A significant portion of his practice has been devoted to representing financial services institutions and investment advisers, as well as their senior principals and traders, before the SEC, DOJ, CFTC, FINRA, and the Federal Reserve. Mr. Nowak regularly counsels public and private companies on compliance procedures, enforcement response initiatives and proactive strategies designed to mitigate legal, regulatory and reputational risks.

Prior to joining Paul Hastings, Mr. Nowak was the Deputy Chief of the Business and Securities Fraud Section of the United States Attorney's Office, EDNY. He managed large-scale investigations of white-collar and securities crimes, in multiple domestic and foreign jurisdictions. Mr. Nowak supervised fifteen senior prosecutors pursuing cases in insider trading, fraud, extortion, FCPA violations, computer hacking, money laundering and market manipulation. He also gained significant jury trial experience and argued more than a dozen cases before the Court of Appeals for the Second Circuit, and routinely communicated with senior officials at the DOJ, the SEC and other regulatory agencies about policy matters.

He was previously Branch Chief, Enforcement Division at the SEC where he supervised a team of eight attorneys pursuing a variety of securities law matters, including insider trading, best execution and short sale violations, PIPE financings, breaches of fiduciary duties, adviser conflicts of interest, soft dollar arrangements, beneficial ownership disclosures and broker-dealer regulations.

Education

  • University of Richmond School of Law, J.D., 2000 (cum laude )

  • College of the Holy Cross, B.A. in Mathematics, 1993

Speaking Engagements

  • Mr. Nowak is a frequent lecturer and author on white collar crime and securities law topics.  He also routinely provides training and CLE presentations to clients on matters relating to regulatory enforcement, anticorruption, DOJ enforcement and compliance issues.  Mr. Nowak has been quoted in major media outlets on matters affecting his practice and the financial services community.

Recent Representations

  • Representing a public company in SEC inquiry relating to revenue recognition and accounting disclosure

  • Representing hedge funds, hybrid funds and PE funds in investigations and examinations by the SEC Municipal Securities and Public Pensions Unit, the SEC Asset Management Unit, the SEC Market Abuse Unit, and the SEC's Office of Compliance Inspections and Examinations (OCIE)

  • Representing a CEO of a leading media company in an SEC investigation

  • Representing a public company and executives in SEC and DOJ investigations relating to the securitization and servicing of mortgage-backed assets

  • Representing a global financial services company in an SEC "dark pool" investigation

  • Representing an international financial services firm in SEC investigation relating to disclosure of fees and conflicts

  • Representing a public company in connection with a related party and disclosure investigation by the SEC

  • Representing the head of a global division within an international financial services company in a DOJ investigation of FX-linked products

  • Representing a former CFO of a public company in connection with DOJ and SEC prosecution relating to accounting disclosures, pending in the District of Delaware

  • Representing a former trader in a LIBOR prosecution by the DOJ, pending in the Southern District of New York

  • Representing a trader in a CFTC investigation relating to market trading practices

  • Represented a former CFO of automotive company in an SEC investigation relating to disclosures made during a capital raise

  • Represented a foreign corporation in connection with an internal accounting disclosures inquiry and related SEC investigation

  • Represented a global head of private equity of a major financial institution in connection with an SEC investigation

  • Represented an executive of a financial services company in SEC investigation relating to accounting disclosures

  • Represented a foreign public company in an SEC investigation relating to accounting and related party disclosures

  • Represented a hedge fund in SEC investigation relating to conflicts of interest and related party transactions

  • Represented a foreign public issuer in an internal investigation relating to whistleblower complaints

  • Represented a hedge fund in insider trading investigations by the SEC

  • Represented a managing director of an international investment bank in an SEC investigation of secondary offering of securities by a China-based public company

  • Represented a trader in connection with Litvak -style SEC and U.S. Attorney's Office investigation

  • Represented the head of a trading desk in connection with global government FOREX investigation

  • Represented a trader in connection with Federal Reserve investigation

  • Represented a swaps trader in connection with a DOJ Antitrust investigation

Practice Areas

Litigation
Securities Litigation
Anti-corruption and FCPA
Securities Enforcement
Investigations and White Collar Defense
Investigations and White Collar Defense
White Collar Defense

Languages

anglais

Admissions

New York Bar
Massachusetts Bar

Education

University of Richmond, School of Law, J.D. 2000
College of the Holy Cross, B.A. 1993

Nous contacter

Contactez-nous