Recent Representations

Regulatory Enforcement and Criminal Investigations

• Represents Matthew Connolly, former manager at Deutsche Bank, in U.S. v. Connolly, et al. as co-lead counsel in a trial involving allegations of wire fraud in connection with LIBOR submissions brought by the Department of Justice in the Southern District of New York and related litigation.  Following a split jury verdict, our client was not sentenced to any term of incarceration.  The appeal is pending.
• Represents David Gibson, former Chief Financial Officer of Wilmington Trust Corporation, in U.S. v. Gibson, et al. as co-lead counsel in a trial involving allegations of accounting and securities fraud brought by the U.S. Attorney's Office for the District of Delaware.  Our client was granted bail pending appeal in the criminal action, for which an appeal is pending.  The related SEC litigation was settled favorably. 
• Represented a multinational Latin American conglomerate with U.S. operations in connection with an audit committee investigation relating to accrual accounting issues and whistleblower allegations.  The matter was resolved confidentially.
• Represented an international financial services company in an investigation by the CFPB regarding its loan servicing platform and other technology services provided.  The matter was concluded without any enforcement action brought against our client.
• Represented a foreign exchange trader in connection with an investigation by the DOJ into alleged currency market manipulation related to swaptions trading as lead counsel. The investigation was concluded without any charges being brought against our client.
• Represented a senior officer of the private banking division of an international investment bank in an investigation by the SEC related to accounting and disclosure issues as co-lead counsel. The matter settled favorably.
• Represented a former portfolio manager of the hedge fund division of a U.K. alternative investment company in an investigation by the SEC and FCA. The investigation was concluded without any charges being brought against our client.   
• Represented a real estate investment firm in a joint investigation by the DOJ and the Federal Housing Finance Agency Inspector General's Office. The investigation was kept confidential and concluded without any charges or civil claims being brought against our client.
• Represented a futures, options and equity trading firm and its principal in a Regulation SHO investigation by the SEC and SROs. The investigation was concluded without any charges being brought against our client.
• Represented a hedge fund advisor in investigations by the DOJ and SEC regarding foreign account issues. The investigation was concluded without any charges being brought against our client.
• Represented a large real estate investment firm in an investigation by the NYAG involving "pay-to-play" practices in connection with public pension fund investments. The investigation was kept confidential and concluded without any charges being brought against our client.

Internal Investigations

• Conducted an internal investigation of a large international corporation involving whistleblower allegations of accounting fraud.
• Conducted internal investigations for a leading state university system involving issues of accounting, disclosures and documentation.
• Conducted an internal investigation for a not-for-profit institution involving alleged misuse of charitable resources.
• Conducted an internal investigation for a major financial institution involving allegations of fraud relating to the institution’s credit lending and audit practices.
• Conducted an internal investigation for a not-for-profit corporation involving allegations of accounting fraud

Accolades and Recognitions

• Co-lead trial counsel in U.S. v. Connolly, et al.  (S.D.N.Y.), shortlisted by Global Investigations Review (GIR) as "Most Important Case of the Year" for its impact on future government investigations (2019)
• Recognized as a "Legal Lion" by Law360  for securing a sentencing ruling without any period of incarceration in U.S. v. Connolly, et al. (S.D.N.Y.) (2019)
• Recognized as one of five national "Rising Stars" for White Collar by Law360 (2018)
• Recipient of the Firm's 2016 Strategic Initative Award for her pro bono work and partnership with the PENCIL (Public Education Needs Civic Involvement in Learning) organization
• Selected as among "The Top Women Attorneys in New York" by Super Lawyers (2014-2020)
• Recognized as a "Super Lawyer" in the area of Criminal Defense: White Collar, New York Super Lawyers  (2018-2020)
• Recognized as a "Rising Star" in the area of Criminal Defense: White Collar, New York Super Lawyers (2014-2017)
• Member of Paul Hastings' Investigations and White Collar Defense Group, which was named one of five "White Collar Practice Groups of the Year" by Law360

Speaking Engagements and Publications

Publications

• "SEC Issues New Alert on COVID-19 Risks and Considerations for Broker-Dealers and Investment Advisers," Lexology, co-author with Kenneth Breen, August 2020
• "Seila Law Decision Likely Has Major Implications for CFPB Actions," Stay Current, co-author with Kenneth Breen, Thomas Brown and Inna Coleman, July 2020
• "SEC Issues Guidance for Private Fund Advisers," Lexology, co-author with Kenneth Breen, July 2020
• "CARES Act Fraud Risks for Borrowers and Lenders," Lexology, co-author with Kenneth Breen, April 2020
• "Regulator and Prosecutor Focus on Price Gouging with COVID-19 Product Demand," Lexology, co-author with Kenneth Breen, April 2020
• "Remote Technology Issues During COVID-19 Crisis Pose Heightened Insider Trading Risks," Lexology, co-author with Kenneth Breen and Amanda Pober, April 2020
• "Novel Legal Issues Arise from U.S. Lawmakers’ Potential 'Insider' Trades Based on Information Regarding COVID-19 Threat," Stay Current, co-author with Kenneth Breen and Scott Glicksman, March 2020
• "Review of Internal Controls Especially Important as the SEC Indicates Increased Scrutiny of Potential Insider Trading During COVID-19 Crisis," Stay Current, co-author with Kenneth Breen and Amanda Pober, March 2020
• "New York and California Are Leading States in Pushing for More State-Level Consumer Protection Actions," Stay Current, co-author with Kenneth Breen and Rita Fishman, March 2020
• "How Criminal Rule 4 Is Changing," Law360, co-author with Thomas O'Brien, Daniel Prince, John Nowak and Margaret Buckles, May 2016
• "The Federal Government's Ability to Initiate Criminal Proceedings Against Foreign Corporations Is About to Get Easier," Stay Current, co-author with Thomas O'Brien, Daniel Prince, John Nowak and Margaret Buckles, May 2016
• "'Omnicare' and Opinion Statements Liability in Securities Cases," New York Law Journal, co-author with Kenneth Breen and John Nowak, March 2015
• "Expect More SEC Scrutiny Of Defense Attorney Conduct," Law360, co-author with Kenneth Breen and Thomas Zaccaro, January 2014
• "New SEC Initiatives Focus on Financial Reporting and Microcap Stock Trading," Stay Current, co-author with Kenneth Breen and Morgan Miller, July 2013
• "Violence Against Women: A Human Rights Violation," Report for Terre des Hommes, co-author, November 2012

Speaking Engagements

• Presenter, "2016 Investigations and Enforcements: Ethical Issues in a Post-Yates World and Related Privilege Concerns," client panel, January 2016
• Presenter, "Ethical Issues Arising in Post-Financial Crisis Litigations and Investigations," National Asia PHAN and NY Women's PHAN event, October 2015
• Moderator, "Overview of Investigations and Enforcement Actions by the SEC and SROs," Securities Litigation Academy, May 2012
• Moderator, "The Foreign Corrupt Practices Act and the Evolving Definition of 'Foreign Officials'," Securities Litigation Training Series, August 2011
• Presenter, "How to Run a Document Review (Well)," PH DNA Program, November 2010
• Moderator, "Bounty Hunters: The New SEC Whistleblower," Securities Litigation 101, November 2010
• Moderator, "Issues in Criminal Investigations and Defense," Securities Litigation 101, June 2010
• Moderator, "Conducting Internal Investigations," Securities Litigation 101, April 2009

Professional and Community Involvement

Pro Bono Counsel

• Pro bono counsel, active volunteer and supporter of PENCIL, an organization focused on collaborations between businesses and New York City public schools to increase students' college and career readiness
• Pro bono counsel to the Duke Law Wrongful Convictions Clinic's investigations and litigations of North Carolina inmates' claims of actual innocence
• Attorney mentor for the Justice Resource Center, training and preparing New York City public school students for citywide moot court competition, international moot court competition, and statewide mock trial program
• Pro bono counsel for the Bet Tzedek Holocaust Survivors Justice Network, assisting pro bono clients in their applications for pension programs available to Holocaust survivors through the German government for work done while living in German-controlled ghettos throughout Europe during World War II

Professional Activities

• National Association of Women Lawyers, 2018 Challenge Club Member
• Executive Council, UJA-Federation of New York White Collar and Securities Enforcement Committee
• Leadership Committee, UJA-Federation of New York Young Lawyers Division
• American Bar Association, Criminal Justice Section
• Luther Rice Society Member, The George Washington University
• Class Committee Member, George Washington University Law School

Firm Activities

• Chairperson, Summer Associate Program (New York)
• Co-Chairperson, New York Women's PHAN (Paul Hastings Affinity Network)
• Member of the Firm's Recruiting Committee

Education

• George Washington University Law School, J.D., 2006
• George Washington University, B.A., 2003 (summa cum laude, Phi Beta Kappa Society)

Admissions

Ms. Guberman is a member of the New York bar and is admitted to practice in the U.S. District Court for the Southern and Eastern Districts of New York and the U.S. Court of Appeals for the Second and Third Circuits.