Andrew Bauer brings his many years of experience in private practice and as an Assistant United States Attorney with the Criminal Division of the United States Attorney's Office for the Southern District of New York (SDNY) to efficiently and effectively defend organizations and individuals facing criminal and civil allegations of fraud and other misconduct in the financial services, healthcare, and other industries.

Before leaving the United States Attorney's Office, Mr. Bauer was a member of the Securities and Commodities Fraud Task Force, where he focused primarily on securities fraud, insider trading, investment advisor fraud, market manipulation, wire fraud, money laundering, and Foreign Corrupt Practices Act (FCPA) violations.

While at the SDNY, Mr. Bauer was also one of the few criminal prosecutors handling pharmaceutical fraud cases centering on allegations of off-label promotion and violations of the anti-kickback statute.

Throughout his career, Mr. Bauer has worked closely with the multiple governmental agencies and SROs regulating much of today's commercial activity. For financial services, Mr. Bauer has worked closely with the SEC, CFTC, FTC, FINRA, and FDA, among others, and is able to use that knowledge to advise public (Fortune 500) and private companies, hedge funds, investment banks, broker-dealers, investment advisors, and government agencies being investigated for or charged with securities fraud, insider trading, investment advisor fraud, market manipulation, wire fraud, money laundering, and FCPA violations.

Similarly, Mr. Bauer's experience working with healthcare regulators deeply informs his advice to leading pharmaceutical companies. Even before his time in government, Mr. Bauer was an associate at the firm representing pharmaceutical companies facing major criminal and civil investigations, as well conducting internal investigations involving alleged violations of the False Claims Act and the Anti-Kickback Statute, among other 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. He was also a project leader at an Internet venture company where he managed business strategy and brand management for portfolio clients.

Experience

As an Assistant United States Attorney, Mr. Bauer tried to verdict nine federal criminal trials in the US District Court for the SDNY, all of which led to convictions, and also briefed and argued dozens of appeals before the United States Court of Appeals for the Second Circuit.

Some of his high-profile cases as an AUSA include:

  • In re Visium Asset Management: As co-lead counsel in the successful investigation and subsequent prosecution of a number of individuals associated with Visium Asset Management, a multibillion dollar healthcare-focused hedge fund, and Gordon Johnston, a "political intelligence" consultant hired by Visium, for securities fraud centered on, among other things, (i) insider trading based on material nonpublic information leaked from within the FDA and other public agencies and (ii) mismarking of securities to inflate the fund's net asset value.
  • United States v. David Blaszczak, et al.: As co-lead counsel in the successful investigation which led to the subsequent prosecution of David Blasczcak, a "political intelligence" consultant, Christopher Worrall, a staffer at the Center for Medicare & Medicaid Services (CMS), and a number of analysts at Deerfield Management, a multibillion dollar hedge fund, for trading based on material, nonpublic information leaked from CMS.
  • United States v. Albert Hallac, et al.: As lead counsel in the successful investigation and prosecution of, among others, the founder and president of hedge fund advisory firm Weston Capital Asset Management for defrauding investors of approximately $26 million.
  • United States v. Steven Rawlins: As co-lead counsel in the successful investigation, prosecution and trial of Steven Rawlins, the CFO to two healthcare services companies outside Nashville, Tennessee, for engaging in a multimillion dollar scheme to defraud the companies.

In addition to his white collar experience at the U.S. Attorney's Office, Mr. Bauer also served a number of years in the Violent Crimes Unit prosecuting RICO, murder, robbery, firearm, and narcotics offenses.

Perspectives

Global Anti-Corruption Insights: Winter 2018
Update on Recent Enforcement, Litigation, and Compliance Developments
DOJ Announces New FCPA Corporate Enforcement Policy
Advisory
Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues (2nd Edition)
PLI Practising Law Institute
United States v. Martoma: The Second Circuit's Latest Attempt to Clarify the "Personal Benefit" Requirement in Insider Trading Cases
Advisory
Global Anti-Corruption Insights: Summer 2017
Update on Recent Enforcement, Litigation, and Compliance Developments
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 District Court, Southern District of New York
  • US District Court, Eastern District of New York
Government and Military Service
  • Assistant United States Attorney, Criminal Division of the United States Attorney's Office, Southern District of New York
Overview

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