Andrew Bauer is a former federal prosecutor who represents organizations and individuals in white collar criminal defense, securities enforcement matters, internal investigations, corporate compliance concerns, and commercial litigation and disputes. His extensive trial and investigative experience—in both the private and public sectors—benefits clients facing criminal and civil allegations of fraud and other misconduct in the financial services, healthcare, and other industries.

During his six years in the US Attorney's Office for the Southern District of New York, Mr. Bauer was a member of the Securities and Commodities Fraud Task Force, where he led investigations and prosecutions involving securities fraud, insider trading, investment advisor fraud, market manipulation, money laundering, and violation of the Foreign Corrupt Practices Act (FCPA). In addition, he served as the criminal AUSA on a number of large investigations into alleged violations by pharmaceutical manufacturers of the False Claims Act and the Anti-Kickback Statute, among other statutes.

Mr. Bauer's familiarity with the government agencies regulating much of today's commercial activity—which has only deepened in the years since he returned to private practice—informs his problem-solving and provides clients, especially in the financial services and life sciences sectors, with unparalleled insights and advice.

In the financial services area, Mr. Bauer's close work with the DOJ, SEC, CFTC, FINRA, the New York State Attorney General's Office, the New York State Department of Financial Services (DFS), and other government and regulatory agencies is invaluable for public (Fortune 500) and private companies, hedge funds, investment banks, broker-dealers, and investment advisors. Similarly, in the life sciences space, his intimate knowledge of DOJ investigations now aids pharmaceutical companies facing a civil or criminal inquiry, or conducting an internal investigation, into potential fraud or compliance infractions.

Before becoming an attorney, Mr. Bauer worked as a trader and analyst in the convertible bond and risk arbitrage groups at a hedge fund, as well as at a venture capital firm investing in and working with internet start-ups.

Experience

  • Numerous asset management firms, in connection with DOJ, SEC, and CFTC investigations involving alleged insider trading, market manipulation (including spoofing), accounting fraud, FCPA, and other securities regulatory issues.
  • Numerous publicly traded companies and asset management firms, in advising on their compliance policies and protocols for insider trading, market manipulation, and other securities fraud.
  • Numerous pharmaceutical companies, in federal and state criminal and civil government investigations and internal investigations involving allegations of off-label promotion, anti-kickback statute violations, False Claims Act violations and other issues related to sales, marketing and pricing practices.
  • Large multinational investment bank and financial services company, in connection with an inquiry from the SEC regarding alleged FCPA violations.
  • Large publicly trader consumer products company, in connection with a government and internal investigation into alleged product diversion, corruption, and potential FCPA violations.
  • Private equity funds, in connection with an SEC investigation of portfolio companies and potential accounting improprieties.
  • Cryptocurrency company, in connection with a series of inquiries from state and federal regulators.
  • Board of trustees of a large, private boarding school, in conducting an internal investigation into allegations of hazing among students.
  • Engineering and consulting firm, in connection with an inquiry from the DOJ regarding alleged False Claims Act violations.
  • The Republic of South Africa, as the victim in the prosecution and conviction of a large commercial fisherman in the SDNY for a violation of the Lacey Act stemming from his importation of rock lobster illegally harvested from South African waters, including international asset recovery from the fisherman

Perspectives

Update: Criminal and Regulatory Enforcement of Market Manipulation Spike
Advisory
Global Anti-Corruption Insights: Summer 2019
Update on Recent Enforcement, Litigation, and Compliance Developments
Tired of Securities Enforcement Actions Targeting the Life Sciences Industry?
Arnold & Porter Webinar
The Advisor: Helping You Manage Your Life and Legacy in Today's Complex World
Private Client Services Newsletter
Blurred Lines: Government Involvement in Corporate Internal Investigations and Implications for Individual Accountability (pdf)
Harvard Law School Forum on Corporate Governance and Financial Regulations
More

Recognition

Latin Lawyer 250
White Collar Crime and Compliance (2018)

Credentials

Education
  • JD, University of Michigan Law School
  • BA, University of Pennsylvania
Admissions
  • New York
  • US Court of Appeals for the Second Circuit
  • US Court of Appeals for the Fifth Circuit
  • US District Court, Southern District of New York
  • US District Court, Eastern District of New York
Government & Military Service
  • Assistant United States Attorney, Criminal Division of the United States Attorney's Office, Southern District of New York
Activities
  • Member, Criminal Justice Act panel representing indigent defendants charged with federal criminal offenses, Southern District of New York.

Overview

Email Disclaimer